DFX Intelligence
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Registered advisor
S••• Y•• Y•
Certified Financial Planner
Feed of 09/14/2026
Also filed as S••• Y•• Y•••••• Y•• R••••••••• Y•
At current firm
5 y
since Jan 10, 2021
In the industry
23 y
since Oct 28, 2002 (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
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
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jan 10, 2021 · Lakewood, Wa
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 11, 2018 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 8, 2011 to Jan 8, 2018 · Seattle, Wa
- C•••• I••••••••• S••••••• C•••• formerJul 9, 2010 to Oct 4, 2010 · Newcastle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 30, 2002 to Jun 30, 2010 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- U••• I••••••••• S••••••• C•••••• to S••••• W••••• A•••••••• I•••left May 11, 2018, registered Jan 10, 2021 (975 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to U••• F•••••••• P••••••• S•••••••left Oct 4, 2010, registered Mar 8, 2011 (155 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Jun 30, 2010, registered Jul 9, 2010 (9 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- No RAUM reportedderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address