DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

T•••••• S•••••••

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

Freeland, WA | NEEDHAM, MA

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Search this name across graphsid dfx:ria:71519323-b5b1-8b64-09d3-a0dda6e09ded

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 25, 2005 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: A••••••• I••••••••• A•••••••• L••
Current firm class: institutional managerderived
Book size: not public••• Locked
Industry start: Jan 24, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••• I••••••••• A•••••••• L••	Institutional manager	Mar 1, 2022	n/a	yes	Freeland, WA\|NEEDHAM, MA	Current employment
C••• B•••••••• S•••••••• I•••	Former SEC adviser	Dec 10, 2013	Dec 21, 2021	no	GREAT BEND, KS\|MUKILTEO, WA\|Union, KY\|Freeland, WA\|Fort Worth, TX

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• B•••••••• S•••••••• I•••	A••••••• I••••••••• A•••••••• L••	Dec 21, 2021	Mar 1, 2022	70	Firm change	Other
A••••••••• I•••	C••• B•••••••• S•••••••• I•••	Nov 14, 2013	Dec 10, 2013

Relationships

Registered with (6)

→ A••••••• I••••••••• A•••••••• L••Registered adviserregistration: current employment
Mar 1, 2022 to presentfactForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 10, 2013 to Dec 21, 2021factForm ADV
→ A••••••••• I•••Registered adviserregistration: previous registration
Jan 11, 2011 to Nov 14, 2013factForm ADV
→ K•• I••••••••• S••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:71519323-b5b1-8b64-09d3-a0dda6e09ded
First observed: Aug 25, 2005
Last observed: Sep 14, 2026 9 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.