DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Registered advisor

S•••• H•••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseBellevue, Wadual registrantIAPD 3116263
Feed of 09/14/2026
Also filed as S•••• K•• L••••••••• L••••••••• K•• H•••••••
At current firm
15 y
since May 2, 2011
In the industry
27 y
since Nov 5, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
  • V••• F•••••••• A•••••••• I••• BD affiliated
    Jul 14, 2008 to Apr 1, 2010 · Kirkland, Wa
  • J••• M••••• S••••••••• I••• unclassified
    Sep 27, 2006 to Dec 17, 2007 · Milwaukee, Wi
  • B••• O•• S••••••••• C••••••••• unclassified
    Aug 28, 2003 to Sep 27, 2006 · Milwaukee, Wi
  • B••• O•• S••••••••• C••••••••• unclassified
    Aug 28, 2001 to Jun 11, 2003 · Grand Rapids, Mi
Moves
a registration end followed by a registration begin elsewhere
Signals
No dated event on this person.
Transition signals

Mobility scoring is not published yet.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
Wirehousederived
Years in industry
27derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address