DFX Intelligence

L•••••• D•••••• C••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

L•••••• D•••••• C••••

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

BELLEVUE, WA | Fall City, WA

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Search this name across graphsid dfx:ria:987206e7-4819-286d-72ad-7e911c2c6c36

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

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 22, 2011 to Sep 15, 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••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Feb 7, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jan 29, 2015	n/a	yes	BELLEVUE, WA\|Fall City, WA	Current employment
M••••• S••••••	Wirehouse	Jul 23, 2013	Dec 9, 2014	no	Seattle, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	A••••••••• F•••••••• S•••••••• L••	Dec 9, 2014	Jan 29, 2015	51	Firm change	Wirehouse to ibd
F•••	M••••• S••••••	Apr 8, 2013	Jul 23, 2013

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 29, 2015 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jul 23, 2013 to Dec 9, 2014factForm ADV
→ F•••Registered adviserregistration: previous registration
Sep 22, 2011 to Apr 8, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:987206e7-4819-286d-72ad-7e911c2c6c36
First observed: Sep 22, 2011
Last observed: Sep 15, 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.