DFX Intelligence
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Registered advisor
T••••••• C• V••••
Feed of 09/14/2026
Also filed as T•• V••••
At current firm
3 y
since Sep 22, 2023
In the industry
25 y
since Dec 1, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 22, 2023 · San Diego, Ca
- P••••• F•••••••• G•••• unclassifiedOct 5, 2023 to Sep 26, 2025 · Kennewick, Wa
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Sep 28, 2023 · Kennewick, Wa
- M•• F•••••••• S•••••••• I••• formerSep 4, 2002 to Mar 25, 2017 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- P••••• F•••••••• G•••• to no registered destinationleft Sep 26, 2025 · Departure, no registered destination
- M•• I•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Sep 28, 2023, registered Sep 22, 2023 (-6 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedSep 26, 2025 · Advisor departure · fact
- ••• LockedSep 28, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address