DFX Intelligence

W••••• R••• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

W••••• R••• N•••••

Advisor at C•••••• S••••• • C••• I•••

Seattle, WA

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Search this name across graphs

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 15, 2014 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Sep 28, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Apr 26, 2021	n/a	yes	Seattle, WA	Current employment
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Wirehouse	Oct 24, 2017	Apr 5, 2021	no	SHELTON, CT\|NEW HAVEN, CT\|CHESHIRE, CT\|EAST HAVEN, CT\|MADISON, CT\|GUILFORD, CT\|SEATTLE, WA\|SEATTLE, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	C•••••• S••••• • C••• I•••	Apr 5, 2021	Apr 26, 2021	21	Firm change	Wirehouse to ibd
C•••••• S••••• • C••• I•••	M•••••• L••••• P•••••• F••••• • S•••• I•••••••••	Oct 16, 2017

Relationships

Registered with (2)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: previous registration
Apr 15, 2014 to Oct 16, 2017factForm ADV
→ M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Registered adviserregistration: previous registration
Oct 24, 2017 to Apr 5, 2021factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 15, 2014
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.