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

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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

S•••• M•••••• D••••••

Advisor at R••••• W• B•••• • C•• I•••••••••

Seattle, WA

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Search this name across graphsid dfx:ria:744e22a5-c8ab-9a2d-6790-b0a8e5308f70

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 11, 1998 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: R••••• W• B•••• • C•• I•••••••••
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 17, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 11derivedfrom 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
R••••• W• B•••• • C•• I•••••••••	Mixed wealth	Nov 7, 2014	n/a	yes	Seattle, WA\|Seattle, WA	Current employment
M•••••• W••••• R••••• I•••	Former SEC adviser	Nov 29, 2010	Nov 7, 2014	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
M•••••• W••••• R••••• I•••	R••••• W• B•••• • C•• I•••••••••	Nov 7, 2014	Nov 7, 2014	0	Bulk transfer	Other
W•••• F•••• I••••••••• L••	M•••••• W••••• R••••• I•••	Dec 6, 2010

Relationships

Registered with (3)

→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: current employment
Nov 7, 2014 to presentfactForm ADV
→ M•••••• W••••• R••••• I•••Registered adviserregistration: previous registration
Nov 29, 2010 to Nov 7, 2014factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Jun 11, 1998 to Dec 6, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:744e22a5-c8ab-9a2d-6790-b0a8e5308f70
First observed: Jun 11, 1998
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.