DFX Intelligence
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Registered advisor
A••••• U•••• T•••••••
Feed of 09/14/2026
Also filed as A••••• U•••• T••••••••• T•••••••
At current firm
0 y
since Feb 13, 2026
In the industry
15 y
since Feb 1, 2011 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Seattle, Wa
- U••• B•••••• I••••••••• I••• formerMay 2, 2023 to Feb 13, 2026 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseMay 11, 2020 to Apr 27, 2023 · Seattle, Wa
- J••• M••••• S••••••••• L•• wirehouseMay 9, 2018 to May 6, 2020 · Renton, Wa
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Apr 27, 2023, registered May 2, 2023 (5 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left May 6, 2020, registered May 11, 2020 (5 days) · Wirehouse to wirehouse
Signals
- ••• LockedApr 27, 2023 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
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