DFX Intelligence

K•••••••• C••••••• F•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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

K•••••••• C••••••• F•••••••••

Advisor at R•••••• J•••• • A••••••••• I•••

Lake Oswego, OR | LAKE OSWEGO, OR

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Search this name across graphsid dfx:ria:b1c995e1-0cff-213b-3733-f517b970f39f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Aug 27, 2004 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•••••• J•••• • A••••••••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jul 14, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• • A••••••••• I•••	National bd RIA	Oct 28, 2016	n/a	yes	LAKE OSWEGO, OR\|Lake Oswego, OR	Current employment
M••••• S••••••	Wirehouse	Jun 1, 2009	Nov 1, 2016	no	PORTLAND, OR\|Portland, OR	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••• S••••••	R•••••• J•••• • A••••••••• I•••	Nov 1, 2016	Oct 28, 2016	-4	Firm change	Wirehouse to ibd
C•••••••• G••••• M•••••• I•••	M••••• S••••••	Jun 1, 2009	Jun 1, 2009

Relationships

Registered with (3)

→ R•••••• J•••• • A••••••••• I•••Registered adviserregistration: current employment
Oct 28, 2016 to presentfactForm ADV
→ M••••• S••••••Registered adviserregistration: previous registration
Jun 1, 2009 to Nov 1, 2016factForm ADV
→ C•••••••• G••••• M•••••• I•••Registered adviserregistration: previous registration
Aug 27, 2004 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b1c995e1-0cff-213b-3733-f517b970f39f
First observed: Aug 27, 2004
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.