DFX Intelligence
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Reading the graph
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Advisor at E•••••••• C•••••• M••••••••• L••
BELLEVUE, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| E•••••••• C•••••• M••••••••• L•• | Independent wealth | Aug 15, 2025 | n/a | yes | BELLEVUE, WA | Current employment |
| S•••••••• A••••••• L•• | National bd RIA | Mar 31, 2025 | Jun 6, 2025 | no | MEDINA, WA|BOSTON, MA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| S•••••••• A••••••• L•• | E•••••••• C•••••• M••••••••• L•• | Jun 6, 2025 | Aug 15, 2025 | 70 | Firm change | Ibd to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | S•••••••• A••••••• L•• | Mar 31, 2025 | Mar 31, 2025 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Jul 13, 2018 | Mar 31, 2025 | no | BOSTON, MA|HUNTS POINT, WA|MEDINA, WA|BELLEVUE,, WA|SALT LAKE CITY, UT | Previous registration |
| S•••••••• A••••••• L•• | National bd RIA | May 19, 2009 | Jul 13, 2018 | no | SAN FRANCISCO, CA|LARKSPUR, CA|BETHESDA, MD|WALNUT CREEK, CA|WALNUT CREEK, CA|SAN FRANCISCO, CA|BETHESDA, MD|BELLEVUE, WA | Previous registration |
| 0 |
| Bulk transfer |
| Ibd to ibd |
| S•••••••• A••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Jul 13, 2018 | Jul 13, 2018 | 0 | Bulk transfer | Ibd to new firm |