DFX Intelligence
RIA Intelligence
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Registered advisor
S•••••• L••• G•••••
Feed of 09/14/2026
At current firm
7 y
since May 28, 2019
In the industry
19 y
since Mar 13, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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•• C•••••• M••••••• L•• national BD currentsince May 28, 2019 · Bend, Or
- W•••• F•••• A••••••• wirehouseMay 8, 2009 to May 28, 2019 · Bend, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 19, 2007 to May 27, 2009 · Bend, Or
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left May 28, 2019, registered May 28, 2019 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left May 27, 2009, registered May 8, 2009 (-19 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address