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S••••• L•• A•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

S••••• L•• A•••••

Advisor at D••• D••••••• • C••

BELLINGHAM, WA

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Search this name across graphsid dfx:ria:b19f1041-31ce-3a5d-8746-cccc356f1437

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2006 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: D••• D••••••• • C••
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 7, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 20derivedfrom the current registration's begin date
Prior firms

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
D••• D••••••• • C••	Independent wealth	Mar 31, 2006	n/a	yes	BELLINGHAM, WA	Current employment
R•• C•••••• M••••••• L••	National bd RIA	Mar 2, 2006	Apr 6, 2006	no	BELLINGHAM, WA

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
R•• C•••••• M••••••• L••	D••• D••••••• • C••	Apr 6, 2006	Mar 31, 2006	-6	Firm change	Other

Relationships

Registered with (2)

→ D••• D••••••• • C••Registered adviserregistration: current employment
Mar 31, 2006 to presentfactForm ADV
→ R•• C•••••• M••••••• L••Registered adviserregistration: previous registration
Mar 2, 2006 to Apr 6, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b19f1041-31ce-3a5d-8746-cccc356f1437
First observed: Mar 2, 2006
Last observed: Sep 14, 2026 7 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.