DFX Intelligence
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Registered advisor
A•••• M• L•••••
Feed of 09/14/2026
Also filed as A•••• S••••••• N••••••••• S• M••••••••• M••••••• L••••••••• M••••••• L•••••
At current firm
0 y
since Aug 17, 2026
In the industry
15 y
since Feb 1, 2011 (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
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
- W•••• F•••• A••••••• wirehouse currentsince Aug 17, 2026 · Seattle, Wa
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Jun 6, 2025 · Silverdale, Wa
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 2, 2021 to Mar 31, 2025 · Salt Lake City, Ut
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 24, 2018 to Sep 10, 2019 · Elk Grove, Ca
- T• A••••••••• I••• formerSep 24, 2018 to Sep 10, 2019 · Elk Grove, Ca
- M••••• S•••••• wirehouseApr 28, 2016 to Aug 8, 2018 · Burlingame, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to W•••• F•••• A•••••••left Jun 6, 2025, registered Aug 17, 2026 (437 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 10, 2019, registered Sep 2, 2021 (723 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 10, 2019, registered Sep 2, 2021 (723 days) · Other · moved with a team
- M••••• S•••••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 8, 2018, registered Sep 24, 2018 (47 days) · Wirehouse to independent RIA
Signals
- ••• LockedJun 6, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address