DFX Intelligence
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Registered advisor
W•••••••• H••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as W•••••••• H••••
At current firm
9 y
since Jul 17, 2017
In the industry
15 y
since Oct 28, 2010 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Z••• F•••••••• P•••••••• L•• state registered currentsince Jul 17, 2017 · Bellevue, Wa
- S••••••• F•••••••• S•••••••• I••• formerOct 6, 2016 to Jul 18, 2017 · Seattle, Wa
- E•••• S••••••••• L•• BD affiliatedAug 3, 2016 to Sep 6, 2016 · Bellevue, Wa
- W•••••• • R••• formerDec 13, 2013 to Jun 21, 2016 · Bellevue, Wa
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 6, 2013 to Dec 6, 2013 · Bellevue, Wa
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 23, 2012 to Dec 17, 2012 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to Z••• F•••••••• P•••••••• L••left Jul 18, 2017, registered Jul 17, 2017 (-1 days) · Other
- E•••• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Sep 6, 2016, registered Oct 6, 2016 (30 days) · Other
- W•••••• • R••• to E•••• S••••••••• L••left Jun 21, 2016, registered Aug 3, 2016 (43 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to W•••••• • R•••left Dec 6, 2013, registered Dec 13, 2013 (7 days) · Other
- M•• I•••••••• S•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Dec 17, 2012, registered Feb 6, 2013 (51 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
- STATE REGISTEREDderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address