DFX Intelligence

R•••• T•• N•••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

R•••• T•• N•••••

Advisor at S•••••• W••••• M••••••••• L••

KENT, WA | Covington, WA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 23, 1998 to Sep 15, 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: S•••••• W••••• M••••••••• L••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Sep 21, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
S•••••• W••••• M••••••••• L••	State registered	Oct 2, 2018	n/a	yes	Covington, WA\|KENT, WA	Current employment
S••••••••• W••••• M••••••••• L••	Former SEC adviser	Dec 17, 2014	Jul 9, 2018	no	KENT, WA\|GREENVILLE, SC

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S••••••••• W••••• M••••••••• L••	S•••••• W••••• M••••••••• L••	Jul 9, 2018	Oct 2, 2018	85	Firm change	RIA to state RIA
C•••••••• F••••••••• I•••	S••••••••• W••••• M••••••••• L••	Dec 31, 2012	Dec 17, 2014

Relationships

Registered with (4)

→ S•••••• W••••• M••••••••• L••Registered adviserregistration: current employment
Oct 2, 2018 to presentfactForm ADV
→ S••••••••• W••••• M••••••••• L••Registered adviserregistration: previous registration
Dec 17, 2014 to Jul 9, 2018factForm ADV
→ C•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Jan 25, 2012 to Dec 31, 2012factForm ADV
→ P•••••• W••• F•••••••• C••••••••• I••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 23, 1998
Last observed: Sep 15, 2026 8 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.