DFX Intelligence
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Registered advisor
T•••••• S••••••
Feed of 09/14/2026
At current firm
14 y
since Nov 30, 2011
In the industry
18 y
since Aug 15, 2008 (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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Nov 30, 2011 · Seattle, Wa
- M••••• S•••••• wirehouseAug 27, 2010 to Jun 27, 2011 · Kirkland, Wa
- W•••• F•••• I••••••••• L•• unclassifiedAug 18, 2008 to Aug 2, 2010 · Los Altos, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 27, 2011, registered Nov 30, 2011 (156 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to M••••• S••••••left Aug 2, 2010, registered Aug 27, 2010 (25 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address