DFX Intelligence

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

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RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

E•••••• T•••• R••

Advisor at C•••••• S••••• • C••• I•••

Bellevue, WA

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Search this name across graphsid dfx:ria:f71bd2fa-5d3f-1375-7835-f1310008e442

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 19, 2020 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•••••• S••••• • C••• I•••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Jan 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C•••••• S••••• • C••• I•••	National bd RIA	Jan 6, 2026	n/a	yes	Bellevue, WA	Current employment
M••••••• F•••••••• G••••	Independent wealth	Mar 21, 2025	Sep 29, 2025	no	BELLEVUE, WA	Previous registration

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
M••••••• F•••••••• G••••	C•••••• S••••• • C••• I•••	Sep 29, 2025	Jan 6, 2026	99	Firm change	RIA to ibd
F••••••• P••••••• A•• W•••••••• A•••••••	M••••••• F•••••••• G••••	Feb 6, 2025	Mar 21, 2025

Relationships

Registered with (4)

→ C•••••• S••••• • C••• I•••Registered adviserregistration: current employment
Jan 6, 2026 to presentfactForm ADV
→ M••••••• F•••••••• G••••Registered adviserregistration: previous registration
Mar 21, 2025 to Sep 29, 2025factForm ADV
→ F••••••• P••••••• A•• W•••••••• A•••••••Registered adviserregistration: previous registration
Jul 29, 2021 to Feb 6, 2025factForm ADV
→ H•••••• T••••••• • K•••• L••

Dated events

Occurred
Sep 29, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 6, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f71bd2fa-5d3f-1375-7835-f1310008e442
First observed: Aug 19, 2020
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.