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
S••••• R••••• B••••••
Feed of 09/14/2026
At current firm
1 y
since Mar 14, 2025
In the industry
42 y
since Jun 1, 1984 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 14, 2025 · Bainbridge Island, Wa
- L•• F•••••••• L•• BD affiliatedJul 21, 2021 to Mar 17, 2025 · Seattle, Wa
- W•••••• • R••• formerDec 2, 2015 to Jul 21, 2021 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 17, 2025, registered Mar 14, 2025 (-3 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMar 17, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address