DFX Intelligence
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Registered advisor
L••• W•••••••••
Feed of 09/14/2026
Also filed as L••• R••••••••• M•••• R•••••
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Aug 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Yelm, Wa
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 23, 2023 to Mar 31, 2025 · Henderson, Nv
- E•••••• A••••••• G••••• L•• BD affiliatedJul 8, 2019 to Oct 20, 2021 · Greenwood Village, Co
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 13, 2018 to May 31, 2019 · Tacoma, Wa
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E•••••• A••••••• G••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 20, 2021, registered Feb 23, 2023 (491 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• A••••••• G••••• L••left May 31, 2019, registered Jul 8, 2019 (38 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address