DFX 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
T•••• A••• W•••
Feed of 09/14/2026
Also filed as T•••• A••• S••••••
At current firm
7 y
since Jun 11, 2019
In the industry
26 y
since Aug 30, 2000 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
3
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
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jun 11, 2019 · Seattle, Wa
- M••••• S•••••• wirehouseMay 2, 2016 to Jun 10, 2019 · Peoria, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 9, 2013 to Oct 14, 2014 · Scottsdale, Az
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 28, 2013 · Durango, Co
- M••••• S•••••• • C•• L•• unclassifiedOct 18, 2007 to Jun 1, 2009 · Durango, Co
- W•••• F•••• I••••••••• L•• unclassifiedDec 2, 2005 to Jul 10, 2007 · Durango, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 9, 2002 to May 12, 2004 · Aspen, Co
- P••••••••• E••••• G••••• L•• unclassifiedJan 9, 2001 to Jul 17, 2002 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R••••• W• B•••• • C•• I•••••••••left Jun 10, 2019, registered Jun 11, 2019 (1 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 14, 2014, registered May 2, 2016 (566 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 28, 2013, registered Aug 9, 2013 (-19 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to M••••• S•••••• • C•• L••left Jul 10, 2007, registered Oct 18, 2007 (100 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left May 12, 2004, registered Dec 2, 2005 (569 days) · Other
- P••••••••• E••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 17, 2002, registered Oct 9, 2002 (84 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address