DFX Intelligence
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Feed of 09/15/2026
Also filed as S•••• D• C••••••••• C•••••
At current firm
0 y
since Feb 18, 2026
In the industry
18 y
since Sep 5, 2008 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, 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
- E••••• J•••• national BD currentsince Feb 18, 2026 · Corvallis, Or
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 17, 2021 to Feb 19, 2026 · Albany, Or
- C••• F•••••••• S•••••••• L••• formerAug 2, 2016 to Oct 19, 2016 · Keizer, Or
- W•••••• • R••• formerAug 17, 2015 to Aug 3, 2016 · Salem, Or
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 7, 2010 · Salem, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 9, 2008 to Jun 1, 2009 · Salem, Or
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Feb 19, 2026, registered Feb 18, 2026 (-1 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to A••••••••• F•••••••• S•••••••• L••left Oct 19, 2016, registered Feb 17, 2021 (1582 days) · Other
- W•••••• • R••• to C••• F•••••••• S•••••••• L•••left Aug 3, 2016, registered Aug 2, 2016 (-1 days) · Other
- M••••• S•••••• to W•••••• • R•••left Oct 7, 2010, registered Aug 17, 2015 (1775 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedFeb 19, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address