DFX Intelligence
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Registered advisor
M••• L•••• S•••••••••
Feed of 09/14/2026
Also filed as M••• L•••• S••••••••• L• S•••••••••
At current firm
6 y
since Apr 20, 2020
In the industry
27 y
since Jul 8, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 20, 2020 · Seattle, Wa
- T• A••••••••• I••• formerFeb 27, 2018 to Sep 11, 2019 · Issaquah, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 11, 2019 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerSep 16, 2016 to Feb 26, 2018 · Saint Louis, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 15, 2006 to Mar 10, 2008 · Bellevue, Wa
- S•••••••• A••••••• L•• national BDOct 29, 2002 to Aug 24, 2006 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 11, 2019, registered Feb 27, 2018 (-561 days) · corporate re-registration, not a move
- T• A••••••••• I••• to W•••• F•••• A•••••••left Sep 11, 2019, registered Apr 20, 2020 (222 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to S•••••••• I••••••••• M•••••••••left Mar 10, 2008, registered Sep 16, 2016 (3112 days) · Other
- S•••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 24, 2006, registered Aug 15, 2006 (-9 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves.Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
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