DFX Intelligence
RIA 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.
Feed of 09/14/2026
Also filed as S•••• N••• C•••••••••
At current firm
0 y
since May 21, 2026
In the industry
11 y
since Oct 1, 2014 (earliest exam, job or registration)
Prior registered firms
1
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••••••••• state registered currentsince May 21, 2026 · Lake Oswego, Or
- P••• A••••• S••••••••• L•• BD affiliatedMar 21, 2024 to Apr 30, 2025 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to W•••••••••left Apr 30, 2025, registered May 21, 2026 (386 days) · Affiliated broker-dealer or bank to a state-registered adviser
Signals
- S•••• N••• C••••••••• left P••• A••••• S••••••••• L•• for Worry-In-Order (registered 2026-05-21)Apr 30, 2025 · 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
- STATE REGISTEREDderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address