DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A•••••••• S••••••••
Feed of 09/14/2026
Also filed as A••• S••••••••• V• S••••••••• S••••••••
At current firm
5 y
since Jul 23, 2021
In the industry
15 y
since Aug 25, 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
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
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jul 23, 2021 · Greenwood Village, Co
- L•• F•••••••• L•• BD affiliatedSep 14, 2020 to Jul 20, 2021 · Lynwood, Wa
- J••• M••••• S••••••••• L•• wirehouseOct 24, 2018 to Sep 28, 2020 · Spokane, Wa
- A••••• A•• P••••••• S••••••• BD affiliatedNov 15, 2016 to Aug 16, 2018 · Bellevue, Wa
- E••••• J•••• national BDNov 7, 2011 to Oct 17, 2016 · Chattaroy, Wa
- W•••••• • R••• formerAug 26, 2011 to Oct 11, 2011 · Spokane, Wa
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to E•••••• A••••••• G••••• L••left Jul 20, 2021, registered Jul 23, 2021 (3 days) · Other
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Sep 28, 2020, registered Sep 14, 2020 (-14 days) · Wirehouse to affiliated broker-dealer or bank
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left Aug 16, 2018, registered Oct 24, 2018 (69 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to A••••• A•• P••••••• S•••••••left Oct 17, 2016, registered Nov 15, 2016 (29 days) · Other
- W•••••• • R••• to E••••• J••••left Oct 11, 2011, registered Nov 7, 2011 (27 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address