DFX Intelligence
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Registered advisor
D•••• T•••••• D•••••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
1 y
since Oct 1, 2024
In the industry
20 y
since Jan 5, 2006 (earliest exam, job or registration)
Prior registered firms
8
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Oct 1, 2024 · Pullman, Wa
- W•••• I••••••••• M••••••••• unclassifiedDec 6, 2017 to Oct 2, 2024 · Pullman, Wa
- L•• F•••••••• L•• BD affiliatedSep 22, 2017 to Oct 9, 2024 · Pullman, Wa
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 21, 2010 to Jul 12, 2011 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2008 to Aug 24, 2009 · Seattle, Wa
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Oct 8, 2008 · Seattle, Wa
- M••••• S•••••• D• I••• unclassifiedDec 11, 2006 to Apr 2, 2007 · Seattle, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDOct 23, 2006 to Oct 30, 2006 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2006 to Aug 1, 2006 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• I••••••••• M•••••••••left Oct 9, 2024, registered Dec 6, 2017 (-2499 days) · Other · moved with a team
- W•••• I••••••••• M••••••••• to O•••• W•••••• I•••left Oct 2, 2024, registered Oct 1, 2024 (-1 days) · Other · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jul 12, 2011, registered Sep 22, 2017 (2264 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Aug 24, 2009, registered May 21, 2010 (270 days) · Other
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 8, 2008, registered Oct 3, 2008 (-5 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to M••••• S•••••• D• I•••left Oct 30, 2006, registered Dec 11, 2006 (42 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 1, 2006, registered Oct 23, 2006 (83 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedOct 9, 2024 · Advisor changed firm · fact
- ••• LockedOct 2, 2024 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address