DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

A••• T••••• H•••••••

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

Seattle, WA

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Search this name across graphsid dfx:ria:99ac830d-ca5f-a119-f9ee-ad8cbd390a13

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2003 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 public••• Locked
Industry start: May 24, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom 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
R••••• W• B•••• • C•• I•••••••••	Mixed wealth	Nov 7, 2014	n/a	yes	Seattle, WA	Current employment
M•••••• W••••• R••••• I•••	Former SEC adviser	Apr 21, 2008	Nov 7, 2014	no	SEATTLE, WA	Previous registration

Moves

••• Locked

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•••	Apr 21, 2008	Apr 21, 2008

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
Apr 21, 2008 to Nov 7, 2014factForm ADV
→ W•••• F•••• I••••••••• L••Registered adviserregistration: previous registration
Mar 31, 2003 to Apr 21, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:99ac830d-ca5f-a119-f9ee-ad8cbd390a13
First observed: Mar 31, 2003
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.