DFX Intelligence
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Registered advisor
N••••• N•••••
Feed of 09/14/2026
Also filed as T••• N••••••••• L•
At current firm
4 y
since Sep 6, 2022
In the industry
13 y
since Mar 9, 2013 (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
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 6, 2022 · Bellevue, Wa
- M••••• S•••••• wirehouseMay 21, 2021 to Aug 18, 2022 · Kirkland, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 2016 to May 3, 2021 · Clearwater, Fl
- W•••• F•••• A••••••• wirehouseNov 21, 2013 to May 13, 2016 · Bellevue, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 13, 2013 to Oct 18, 2013 · Bellevue, Wa
- T• A••••••••• I••• formerMar 13, 2013 to Oct 18, 2013 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 18, 2022, registered Sep 6, 2022 (19 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 3, 2021, registered May 21, 2021 (18 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 13, 2016, registered May 24, 2016 (11 days) · Wirehouse to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to W•••• F•••• A•••••••left Oct 18, 2013, registered Nov 21, 2013 (34 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 18, 2013, registered Mar 13, 2013 (-219 days) · channel change inside one enterprise, not a move
Signals
- ••• LockedAug 18, 2022 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address