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
R•••••• E••• T•••••
Feed of 09/14/2026
At current firm
3 y
since Jun 29, 2023
In the industry
14 y
since Jun 11, 2012 (earliest exam, job or registration)
Prior registered firms
6
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Enumclaw, Wa
- V••• F•••••••• A•••••••• I••• BD affiliatedJun 5, 2019 to Jun 9, 2021 · Windsor, Ct
- C••••• A•••••• N••••••• L•• formerMay 10, 2019 to Jun 6, 2019 · Fife, Wa
- C••• F•••••••• S•••••••• L••• formerMar 27, 2017 to Dec 21, 2018 · Burien, Wa
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 19, 2016 to Mar 20, 2017 · Redmond, Wa
- N•• A•••••• S•••••••• L•• formerJun 27, 2014 to Sep 22, 2016 · Redmond, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDSep 19, 2012 to Jul 7, 2014 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to V••• F•••••••• A•••••••• I•••left Jun 6, 2019, registered Jun 5, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to C••••• A•••••• N••••••• L••left Dec 21, 2018, registered May 10, 2019 (140 days) · Affiliated broker-dealer or bank to another
- K••••• A••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Mar 20, 2017, registered Mar 27, 2017 (7 days) · Other
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 19, 2016 (-156 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to N•• A•••••• S•••••••• L••left Jul 7, 2014, registered Jun 27, 2014 (-10 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address