DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Advisor at E•••• W••••• M••••••••• I•••
KIRKLAND, 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•••• W••••• M••••••••• I••• | Independent wealth | Jul 10, 2025 | n/a | yes | KIRKLAND, WA | Current employment |
| C•••••• C•••••• P••••••• | Former SEC adviser | Feb 5, 2021 | Jul 17, 2025 | no | Bellevue, WA|NEWPORT BEACH, CA |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| C•••••• C•••••• P••••••• | E•••• W••••• M••••••••• I••• | Jul 17, 2025 | Jul 10, 2025 | -7 | Firm change | RIA to RIA |
| F••••••• P••••••• A•• W•••••••• A••••••• | C•••••• C•••••• P••••••• | Dec 7, 2020 | Feb 5, 2021 |
| F••••••• P••••••• A•• W•••••••• A••••••• | Former SEC adviser | Mar 7, 2019 | Dec 7, 2020 | no | BELLEVUE, WA | Previous registration |
| U••• B•••••• A•••••••• L•• | Bd affiliated wealth | Oct 30, 2013 | Feb 19, 2019 | no | BELLEVUE, WA|BELLEVUE, WA|REDMOND, WA|KIRKLAND, WA|KIRKLAND, WA|EDMONDS, WA|BOTHELL, WA|LYNNWOOD, WA|MILL CREEK, WA|WOODINVILLE, WA | Previous registration |
| U••• B•••••• I••••••••• I••• | Former SEC adviser | May 3, 2011 | Oct 29, 2013 | no | Seattle, WA|Burien, WA|Mercer Island, WA|SEATTLE, WA|REDMOND, WA|Auburn, WA | Previous registration |
| C•••• I••••••••• S••••••• C•••• | Former SEC adviser | May 2, 2009 | May 4, 2011 | no | RENTON, WA|RENTON, WA|MERCER ISLAND, WA | Previous registration |
| W••• I••••••••• I••• | n/a | Oct 17, 2008 | May 2, 2009 | no | RENTON, WA|RENTON, WA | Previous registration |
| E••••• J•••• | National bd RIA | Apr 10, 2007 | Oct 6, 2008 | no | ST LOUIS, MO|Carmichael, CA|CITRUS HEIGHTS, CA | Previous registration |
| 60 |
| Firm change |
| Ibd to RIA |
| U••• B•••••• A•••••••• L•• | F••••••• P••••••• A•• W•••••••• A••••••• | Feb 19, 2019 | Mar 7, 2019 | 16 | Firm change | Ibd to ibd |
| U••• B•••••• I••••••••• I••• | U••• B•••••• A•••••••• L•• | Oct 29, 2013 | Oct 30, 2013 | 1 | Firm change | Other |
| C•••• I••••••••• S••••••• C•••• | U••• B•••••• I••••••••• I••• | May 4, 2011 | May 3, 2011 | -1 | Firm change | Other |
| W••• I••••••••• I••• | C•••• I••••••••• S••••••• C•••• | May 2, 2009 | May 2, 2009 | 0 | Bulk transfer | Other |
| E••••• J•••• | W••• I••••••••• I••• | Oct 6, 2008 | Oct 17, 2008 | 11 | Firm change | Other |