DFX Intelligence
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Registered advisor
C•••••• G•• C••••••••
Feed of 09/14/2026
At current firm
2 y
since Mar 18, 2024
In the industry
15 y
since Aug 30, 2011 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 18, 2024 · Coeur D'Alene, Id
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Mar 20, 2024 · Coeur D'Alene, Id
- S•••••••• F••••••••• I••• formerOct 16, 2017 to Sep 1, 2023 · Coeur D'Alene, Id
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Oct 12, 2017 · Spokane, Wa
- M•• F•••••••• S•••••••• I••• formerNov 2, 2016 to Mar 25, 2017 · Spokane, Wa
- N••••••••• M••••• I••••••••• S••••••••• no RAUMMay 15, 2014 to Oct 5, 2016 · Spokane Valley, Wa
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Mar 20, 2024, registered Mar 18, 2024 (-2 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to S•••••••• F••••••••• I•••left Oct 12, 2017, registered Oct 16, 2017 (4 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to M•• F•••••••• S•••••••• I•••left Oct 5, 2016, registered Nov 2, 2016 (28 days) · Other
Signals
- ••• LockedMar 20, 2024 · 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
- 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