DFX Intelligence

D••••• M••• S•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner|Personal Financial Specialist46 years in industry

D••••• M••• S•••••••

Advisor at T••••••••• C•••••• L••

SARASOTA, FL | Seattle, WA

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Search this name across graphsid dfx:ria:143f3133-17ff-6412-3ee2-c833370f9021

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 9, 1994 to Sep 14, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: T••••••••• C•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 1, 1980earliest registration or exam on IAPD
Years in industry: 46derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T••••••••• C•••••• L••	Independent wealth	Oct 21, 2024	n/a	yes	Seattle, WA\|SARASOTA, FL	Current employment
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Nov 9, 2017	Feb 21, 2022	no	Seattle, WA\|Seattle, WA\|Portland, OR\|LAKE OSWEGO, OR

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
A••••••••• F•••••••• S•••••••• L••	T••••••••• C•••••• L••	Feb 21, 2022	Oct 21, 2024	973	Firm change after gap	Ibd to RIA
C•••••••• I••••••••• R••••••• A•••••••• I•••	F•••••••• P••••••• N••••••••• I•••	Nov 8, 2017	Jun 29, 2017

Relationships

Registered with (5)

→ T••••••••• C•••••• L••Registered adviserregistration: current employment
Oct 21, 2024 to presentfactForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Nov 9, 2017 to Feb 21, 2022factForm ADV
→ C•••••••• I••••••••• R••••••• A•••••••• I•••Registered adviserregistration: previous registration
Feb 28, 2013 to Nov 8, 2017factForm ADV
→ F•••••••• P••••••• N••••••••• I•••

Dated events

Occurred
Feb 21, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:143f3133-17ff-6412-3ee2-c833370f9021
First observed: Mar 9, 1994
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.