DFX Intelligence
Reading the graph
Reading the graph
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Advisor at S•••••••• A••••••• L••
SEATTLE, WA | BELLEVUE, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | n/a | yes | SEATTLE, WA|BELLEVUE, WA | Current employment |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Aug 7, 2024 | Mar 31, 2025 | no | BELLEVUE, WA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 | 0 | Bulk transfer | Ibd to ibd |
| C••••••••• W••••• M••••••••• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 23, 2024 | Aug 7, 2024 |
| C••••••••• W••••• M••••••••• | Independent wealth | Nov 16, 2021 | Jul 23, 2024 | no | BELLEVUE, WA|Mercer Island, WA | Previous registration |
| S••••• W••••• A•••••••• I••• | No RAUM reported | Jan 3, 2012 | Feb 1, 2013 | no | PORTLAND, OR|PHOENIX, AZ | Previous registration |
| C•••••• S••••• • C••• I••• | National bd RIA | Dec 22, 2009 | Nov 18, 2021 | no | Lake Oswego, OR|SEATTLE, WA|Seattle, WA|Phoenix, AZ | Previous registration |
| 15 |
| Firm change |
| RIA to ibd |
| C•••••• S••••• • C••• I••• | S••••• W••••• A•••••••• I••• | Nov 18, 2021 | Jan 3, 2012 | -3,607 | Channel change | Other |
| S••••• W••••• A•••••••• I••• | C••••••••• W••••• M••••••••• | Feb 1, 2013 | Nov 16, 2021 | 3,210 | Firm change after gap | Other |