DFX Intelligence

M•••••• S•••• C••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

M•••••• S•••• C••

Advisor at S••••• F•••••••• A•••••••• I•••

Bellevue, WA | BELLEVUE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d7eb5c60-57e3-6bea-6ab6-0320133c38ea

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Feb 20, 2009 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: S••••• F•••••••• A•••••••• I•••
Current firm class: state registeredderived
Book size: not public••• Locked
Industry start: Aug 28, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 2

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Bd affiliated wealth	Jun 26, 2025	n/a	yes	Bellevue, WA	Current employment
S••••• F•••••••• A•••••••• I•••	State registered	Nov 28, 2014	n/a	yes	BELLEVUE, WA	Current employment

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••••• I••••••••• A••••••• L••	R•••••• J•••• F•••••••• S••••••• A•••••••• I••	Jun 26, 2025	Jun 26, 2025	0	Firm change	Ibd to ibd
C••••• A•••••• N••••••• L••	S••••• F•••••••• A•••••••• I•••	Jun 29, 2023	Nov 28, 2014

Team moves

••• Locked

Team	Left	Joined	From	Kind
105644:149018:WA:2025-06-26	Jun 26, 2025	Jun 26, 2025	RENTON, WA	Firm change
13572:117257:WA:2023-06-29	Jun 29, 2023	Nov 28, 2014	RENTON, WA	Firm change after gap

Relationships

Registered with (4)

→ R•••••• J•••• F•••••••• S••••••• A•••••••• I••Registered adviserregistration: current employment
Jun 26, 2025 to presentfactForm ADV
→ S••••• F•••••••• A•••••••• I•••Registered adviserregistration: current employment
Nov 28, 2014 to presentfactForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserregistration: previous registration
Jun 29, 2023 to Jun 26, 2025factForm ADV
→ C••••• A•••••• N••••••• L••

Dated events

Occurred
Jun 26, 2025
A•••••• firm change
M•••••• S•••• C•• left C••••• I••••••••• A••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-06-26)
Form ADVobserved 7 days ago
Occurred
Jun 29, 2023
A•••••• firm change
M•••••• S•••• C•• left C••••• A•••••• N••••••• L•• for S••••• F•••••••• A•••••••• I••• (registered 2014-11-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d7eb5c60-57e3-6bea-6ab6-0320133c38ea
First observed: Feb 20, 2009
Last observed: Sep 14, 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.