DFX Intelligence
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Feed of 09/14/2026
Also filed as T••••• D••••• A••••••••• D••••• A•••••
At current firm
1 y
since Feb 24, 2025
In the industry
17 y
since Jan 16, 2009 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Feb 24, 2025 · Seattle, Wa
- J••• M••••• S••••••••• L•• wirehouseJun 22, 2017 to Mar 11, 2025 · Seattle, Wa
- S•••••••• I••••••••• M••••••••• formerSep 16, 2016 to Jun 12, 2017 · Saint Louis, Mo
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 7, 2014 · Seattle, Wa
- C•••• I••••••••• S••••••• C•••• formerApr 9, 2010 to Oct 1, 2012 · Bellevue, Wa
- W•••••• • R••• formerDec 1, 2009 to Mar 23, 2010 · Seattle, Wa
- E••••• J•••• national BDJan 28, 2009 to Aug 19, 2009 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 11, 2025, registered Feb 24, 2025 (-15 days) · Wirehouse to wirehouse
- S•••••••• I••••••••• M••••••••• to J••• M••••• S••••••••• L••left Jun 12, 2017, registered Jun 22, 2017 (10 days) · Other
- J••• M••••• S••••••••• L•• to S•••••••• I••••••••• M•••••••••left Apr 7, 2014, registered Sep 16, 2016 (893 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- W•••••• • R••• to C•••• I••••••••• S••••••• C••••left Mar 23, 2010, registered Apr 9, 2010 (17 days) · Other
- E••••• J•••• to W•••••• • R•••left Aug 19, 2009, registered Dec 1, 2009 (104 days) · Other
Signals
- ••• LockedMar 11, 2025 · 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address