DFX Intelligence
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S•••••• M•••••••• S••••••
As of · the IAPD feed; also filed as S•••• S••••••
- At current firm
- 11 y
- In the industry
- 14 y
- Prior registered firms
- 1
- Signals
- 0
since Nov 7, 2014
As of · the IAPD feed; also filed as S•••• S••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Nov 7, 2014 · Seattle, Wa
- M•••••• W••••• R••••• I••• formerMar 16, 2012 to Nov 7, 2014 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- M•••••• W••••• R••••• I••• to R••••• W• B•••• • C•• I•••••••••left Nov 7, 2014, registered Nov 7, 2014 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wealth manager with institutional or fund businessderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address