DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

P••• T•••••• C•••

Advisor at W•••• F•••• A•••••••

SEATTLE, WA | NEWCASTLE, WA

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Search this name across graphsid dfx:ria:ef980b71-6d6a-f9ef-800b-27aedf8b3948

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jul 1, 1998 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: W•••• F•••• A•••••••
Current firm class: wirehousederived
Book size: not public••• Locked
Industry start: Jul 27, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
W•••• F•••• A•••••••	Wirehouse	Sep 30, 2016	n/a	yes	SEATTLE, WA\|NEWCASTLE, WA	Current employment
R••••• W• B•••• • C•• I•••••••••	Mixed wealth	Nov 7, 2014	Oct 7, 2016	no	Bellevue, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
R••••• W• B•••• • C•• I•••••••••	W•••• F•••• A•••••••	Oct 7, 2016	Sep 30, 2016	-7	Firm change	Other
M•••••• W••••• R••••• I•••	R••••• W• B•••• • C•• I•••••••••	Nov 10, 2014	Nov 7, 2014

Relationships

Registered with (4)

→ W•••• F•••• A•••••••Registered adviserregistration: current employment
Sep 30, 2016 to presentfactForm ADV
→ R••••• W• B•••• • C•• I•••••••••Registered adviserregistration: previous registration
Nov 7, 2014 to Oct 7, 2016factForm ADV
→ M•••••• W••••• R••••• I•••Registered adviserregistration: previous registration
Oct 16, 2009 to Nov 10, 2014factForm ADV
→ B••• O• A•••••• I••••••••• S•••••••• I•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ef980b71-6d6a-f9ef-800b-27aedf8b3948
First observed: Jul 1, 1998
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.