DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

M••••••• R•••• J••••

Advisor at C••••• I••••••••• A••••••• L••

••• Locked

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Search this name across graphsid dfx:ria:3a547dc9-c267-6bd8-0c9c-b1ed20e0561d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Nov 17, 2004 to Sep 15, 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 27, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Mar 21, 2024	n/a	yes	SPOKANE VALLEY, WA\|WENATCHEE, WA\|MALAGA, WA	Current employment
F•••••••• A•••••••• I••••••••• M•••••••••	Former SEC adviser	Dec 10, 2018	Mar 13, 2023	no	WENATCHEE, WA\|OLYMPIA, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
F•••••••• A•••••••• I••••••••• M•••••••••	C••••• I••••••••• A••••••• L••	Mar 13, 2023	Mar 21, 2024	374	Firm change	RIA to ibd
L•• F•••••••• L••	F•••••••• M••••••••• I•••	Oct 28, 2022	Dec 3, 2015

Relationships

Registered with (5)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Mar 21, 2024 to presentfactForm ADV
→ F•••••••• A•••••••• I••••••••• M•••••••••Registered adviserregistration: previous registration
Dec 10, 2018 to Mar 13, 2023factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Sep 4, 2012 to Oct 28, 2022factForm ADV
→ F•••••••• M••••••••• I•••

Dated events

Occurred
Mar 13, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 28, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a547dc9-c267-6bd8-0c9c-b1ed20e0561d
First observed: Nov 17, 2004
Last observed: Sep 15, 2026 8 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.