DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

D•••••• S•••••• C••••

Advisor at C••••••••• W••••• M••••••••• L••

DES PERES, MO | 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, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 21, 2006 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••••••••• W••••• M••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Apr 20, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W••••• M••••••••• L••	Independent wealth	Oct 17, 2012	n/a	yes	SEATTLE, WA\|DES PERES, MO	Current employment
E••••• J••••	National bd RIA	Jun 22, 2007	Aug 28, 2012	no	SEATTLE, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
E••••• J••••	C••••••••• W••••• M••••••••• L••	Aug 28, 2012	Oct 17, 2012	50	Firm change	Ibd to new firm
A••••••••• F•••••••• S•••••••• L••	E••••• J••••	Jun 13, 2007	Jun 22, 2007

Relationships

Registered with (3)

→ C••••••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Oct 17, 2012 to presentfactForm ADV
→ E••••• J••••Registered adviserregistration: previous registration
Jun 22, 2007 to Aug 28, 2012factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
Apr 21, 2006 to Jun 13, 2007factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 21, 2006
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.