DFX Intelligence
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Registered advisor
I•••• V•••• B••••••
Feed of 09/14/2026
At current firm
15 y
since Nov 18, 2010
In the industry
23 y
since May 2, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Nov 18, 2010 · Seattle, Wa
- W•••• I••••••••• M••••••••• unclassifiedJan 10, 2011 to Dec 18, 2024 · Seattle, Wa
- C•••• I••••••••• S••••••• C•••• formerOct 20, 2009 to Oct 29, 2010 · Issaquah, Wa
- M•• F•••••••• S•••••••• I••• formerSep 10, 2009 to Sep 28, 2009 · Bellevue, Wa
- E••••• J•••• national BDJan 18, 2007 to Dec 3, 2008 · Redmond, Wa
Moves
a registration end followed by a registration begin elsewhere
- W•••• I••••••••• M••••••••• to no registered destinationleft Dec 18, 2024 · Departure, no registered destination
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Oct 29, 2010, registered Nov 18, 2010 (20 days) · Other
- M•• F•••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Sep 28, 2009, registered Oct 20, 2009 (22 days) · Other
- E••••• J•••• to M•• F•••••••• S•••••••• I•••left Dec 3, 2008, registered Sep 10, 2009 (281 days) · Other
Signals
- ••• LockedDec 18, 2024 · Advisor departure · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address