DFX Intelligence

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

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

T•••• H••• H•••••

Advisor at C••••• I••••••••• A••••••• L••

BOZEMAN, MT

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Search this name across graphsid dfx:ria:dbdc4015-b233-2f16-2322-539fe27aa3de

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 25, 1999 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••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 2, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Sep 15, 2015	n/a	yes	BOZEMAN, MT	Current employment
U••• B•••••• I••••••••• I•••	Former SEC adviser	Sep 8, 2006	Sep 15, 2015	no	Bozeman, MT\|Helena, MT\|Bellingham, WA\|MOUNT VERNON, WA\|Anacortes, WA\|SEDRO WOOLLEY, WA\|MOUNT VERNON, WA\|Oak Harbor, WA\|Bozeman, MT\|BELLINGHAM, WA\|Blaine, WA\|Ferndale, WA\|Lynden, WA\|Havre, MT\|Shelby, MT\|Fort Benton, MT\|Great Falls, MT\|Great Falls, MT\|GREAT FALLS, MT\|Great Falls, MT\|MARYSVILLE, WA\|LANGLEY, WA\|FREELAND, WA\|BURLINGTON, WA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
U••• B•••••• I••••••••• I•••	C••••• I••••••••• A••••••• L••	Sep 15, 2015	Sep 15, 2015	0	Firm change	Other
F•••	U••• B•••••• I••••••••• I•••	Sep 11, 2006	Sep 8, 2006

Relationships

Registered with (4)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Sep 15, 2015 to presentfactForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserregistration: previous registration
Sep 8, 2006 to Sep 15, 2015factForm ADV
→ F•••Registered adviserregistration: previous registration
Jan 23, 2006 to Sep 11, 2006factForm ADV
→ M••••• S•••••• D• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dbdc4015-b233-2f16-2322-539fe27aa3de
First observed: May 25, 1999
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.