DFX Intelligence

M••• R••••• D•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Planner30 years in industry

M••• R••••• D•••••

Advisor at C••••••••• W•••••• L••

Seattle, WA | LOS ANGELES, CA

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Search this name across graphsid dfx:ria:bacc9d65-8432-a6e1-75c6-4d194c03afd4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 1, 1996 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: C••••••••• W•••••• L••
Current firm class: independent wealth managerderived
Book size: not public••• Locked
Industry start: Mar 29, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••••••• W•••••• L••	Independent wealth	Mar 3, 2025	n/a	yes	Seattle, WA\|LOS ANGELES, CA	Current employment
V•••••• G••••	Former SEC adviser	May 31, 2019	Aug 29, 2025	no	SEATTLE, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
V•••••• G••••	C••••••••• W•••••• L••	Aug 29, 2025	Mar 3, 2025	-179	Firm change after gap	RIA to RIA
A••••••••• F•••••••• S•••••••• L••	V•••••• G••••	May 30, 2019	May 31, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
299817:143483:WA:2025-08-29	Aug 29, 2025	Mar 3, 2025	SEATTLE, WA	Firm change after gap
6363:299817:WA:2019-05-24	May 30, 2019	May 31, 2019	SEATTLE, WA	Firm change

Relationships

Registered with (3)

→ C••••••••• W•••••• L••Registered adviserregistration: current employment
Mar 3, 2025 to presentfactForm ADV
→ V•••••• G••••Registered adviserregistration: previous registration
May 31, 2019 to Aug 29, 2025factForm ADV
→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: previous registration
May 1, 1996 to May 30, 2019factForm ADV

Dated events

Occurred
Aug 29, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bacc9d65-8432-a6e1-75c6-4d194c03afd4
First observed: May 1, 1996
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.