DFX Intelligence
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Registered advisor
S•••••• A••••• W••••••••
Feed of 09/14/2026
Also filed as S•••• W••••••••
At current firm
11 y
since Jan 29, 2015
In the industry
24 y
since Nov 19, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- S••••••• L•• state registered currentsince Jan 29, 2015 · Seattle, Wa
- I••••• F•••••••• C••••••••• formerFeb 19, 2009 to Dec 31, 2013 · Seattle, Wa
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 20, 2004 to Feb 27, 2009 · St. Petersburg, Fl
Moves
a registration end followed by a registration begin elsewhere
- I••••• F•••••••• C••••••••• to S••••••• L••left Dec 31, 2013, registered Jan 29, 2015 (394 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Feb 27, 2009, registered Feb 19, 2009 (-8 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address