DFX Intelligence
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Registered advisor
A•••••• S•••••
Feed of 09/14/2026
Also filed as A•••••• D••••••••• S•••••
At current firm
0 y
since Dec 10, 2025
In the industry
20 y
since Aug 30, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Dec 10, 2025 · Everson, Wa
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Dec 20, 2024 · Scottsdale, Az
- S••••••••• A•••••• A•••••••• I••• formerSep 20, 2022 to Jun 14, 2024 · La Vista, Ne
- L•• F•••••••• L•• BD affiliatedJul 1, 2020 to Jun 17, 2021 · Ferndale, Wa
- W•••• F•••• A••••••• wirehouseSep 25, 2017 to Apr 4, 2019 · Castle Rock, Co
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to S•••••••• A••••••• L••left Dec 20, 2024, registered Dec 10, 2025 (355 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Jun 17, 2021, registered Sep 20, 2022 (460 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to L•• F•••••••• L••left Apr 4, 2019, registered Jul 1, 2020 (454 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedDec 20, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address