DFX Intelligence
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Registered advisor
K•••• Y•
Feed of 09/15/2026
Also filed as J•••• Y••••••• Y••••••• Y•
At current firm
3 y
since Feb 22, 2023
In the industry
14 y
since Mar 20, 2012 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Feb 22, 2023 · Bonney Lake, Wa
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 10, 2021 to Sep 27, 2022 · Edgewood, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 11, 2016 to Dec 31, 2020 · Seattle, Wa
- T• A••••••••• I••• formerJul 11, 2016 to Jan 11, 2021 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 14, 2014 to Jul 5, 2016 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 21, 2012 to Mar 14, 2013 · Tacoma, Wa
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to K•• I••••••••• S••••••• L••left Sep 27, 2022, registered Feb 22, 2023 (148 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 11, 2021, registered Sep 10, 2021 (242 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Jul 11, 2016 (-1634 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 5, 2016, registered Jul 11, 2016 (6 days) · Other
Signals
- ••• LockedSep 27, 2022 · 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address