DFX Intelligence

R••• A••• R•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

R••• A••• R•••••

Advisor at P••• I••••••••• L••

Seattle, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 4, 2011 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: P••• I••••••••• L••
Current firm class: asset managerderived
Book size: not public••• Locked
Industry start: Oct 3, 2011earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
P••• I••••••••• L••	Asset manager	Jul 25, 2022	n/a	yes	Seattle, WA	Current employment
N••••• I••••••••• M••••••••• B••••••• T••••	Asset manager	Apr 20, 2020	Jul 20, 2022	no	PHILADELPHIA, PA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
N••••• I••••••••• M••••••••• B••••••• T••••	P••• I••••••••• L••	Jul 20, 2022	Jul 25, 2022	5	Firm change	Other
D••••••• C•••••• M••••••••• A•••••••• I••	N••••• I••••••••• M••••••••• B••••••• T••••	Apr 20, 2020	Apr 20, 2020

Relationships

Registered with (4)

→ P••• I••••••••• L••Registered adviserregistration: current employment
Jul 25, 2022 to presentfactForm ADV
→ N••••• I••••••••• M••••••••• B••••••• T••••Registered adviserregistration: previous registration
Apr 20, 2020 to Jul 20, 2022factForm ADV
→ D••••••• C•••••• M••••••••• A•••••••• I••Registered adviserregistration: previous registration
Jul 5, 2012 to Apr 20, 2020factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••

Dated events

Order

Occurred
20 Jul 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 4, 2011
Last observed: Sep 14, 2026 10 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.