DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Planner29 years in industry

A••••• M•••• S•••••

Advisor at F•••• A•••••• S••••••••• L••

SEATTLE, WA | ST. LOUIS, MO

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Search this name across graphsid dfx:ria:6e9b5583-7e6e-6c04-373d-128db210b8d1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 31, 2010 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: F•••• A•••••• S••••••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Jun 24, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
F•••• A•••••• S••••••••• L••	Independent wealth	Dec 17, 2018	n/a	yes	SEATTLE, WA\|ST. LOUIS, MO	Current employment
L•• F•••••••• I•••	Former SEC adviser	Jan 27, 2012	Dec 17, 2018	no	SAN JOSE, CA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
L•• F•••••••• I•••	F•••• A•••••• S••••••••• L••	Dec 17, 2018	Dec 17, 2018	0	Firm change	Ibd to RIA
R•••••• I•••••••••	L•• F•••••••• I•••	Jan 3, 2012	Jan 27, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
111861:143319:CA:2018-12-13	Dec 17, 2018	Dec 17, 2018	SAN JOSE, CA	Firm change

Relationships

Registered with (3)

→ F•••• A•••••• S••••••••• L••Registered adviserregistration: current employment
Dec 17, 2018 to presentfactForm ADV
→ L•• F•••••••• I•••Registered adviserregistration: previous registration
Jan 27, 2012 to Dec 17, 2018factForm ADV
→ R•••••• I•••••••••Registered adviserregistration: previous registration
Aug 31, 2010 to Jan 3, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e9b5583-7e6e-6c04-373d-128db210b8d1
First observed: Aug 31, 2010
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.