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

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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

W•••••• A••••• D•••••

Advisor at C••••••••• F•••••••• N••••••

Seattle, WA

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Search this name across graphsid dfx:ria:42fdeaed-dc53-7e38-92da-fca9eafa009f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 16, 2012 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: C••••••••• F•••••••• N••••••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 5, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• F•••••••• N••••••	National bd RIA	Dec 10, 2021	n/a	yes	Seattle, WA\|Seattle, WA	Current employment
S••••••••• A•••••• A•••••••• I•••	Former SEC adviser	Nov 6, 2020	Dec 21, 2021	no

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• A•••••• A•••••••• I•••	C••••••••• F•••••••• N••••••	Dec 21, 2021	Dec 10, 2021	-11	Firm change	Ibd to ibd
K•• F•••••••• S•••••••• I••	S••••••••• A•••••• A•••••••• I•••	Nov 6, 2020

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
110518:8032:WA:2021-12-21	Dec 21, 2021	Dec 10, 2021	SEATTLE, WA	Firm change

Relationships

Registered with (3)

→ C••••••••• F•••••••• N••••••Registered adviserregistration: current employment
Dec 10, 2021 to presentfactForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserregistration: previous registration
Nov 6, 2020 to Dec 21, 2021factForm ADV
→ K•• F•••••••• S•••••••• I••Registered adviserregistration: previous registration
May 16, 2012 to Nov 6, 2020factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:42fdeaed-dc53-7e38-92da-fca9eafa009f
First observed: May 16, 2012
Last observed: Sep 14, 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.