DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S••••• L•••• C••••••

C•••••• F•••••••• G••••• L••state registeredKennewick, WaIA-onlyIAPD 1087038

Feed of 09/14/2026

At current firm

4 y

since Sep 6, 2022

In the industry

43 y

since Mar 9, 1983 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• F•••••••• G••••• L•• state registered current
since Sep 6, 2022 · Kennewick, Wa
C••••••••• F•••••••• N•••••• national BD
Mar 28, 2022 to Feb 10, 2026 · Kennewick, Wa
V•••• F•••••••• A•••••••• I••• BD affiliated
Oct 9, 2000 to Jan 13, 2022 · Richland, Wa

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to C•••••• F•••••••• G••••• L••
left Feb 10, 2026, registered Sep 6, 2022 (-1253 days) · Affiliated broker-dealer or bank to a state-registered adviser
V•••• F•••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••
left Jan 13, 2022, registered Mar 28, 2022 (74 days) · Affiliated broker-dealer or bank to another

Signals

S••••• L•••• C•••••• left C••••••••• F•••••••• N•••••• for C•••••• F•••••••• G••••• L•• (registered 2022-09-06)
Feb 10, 2026 · Advisor changed firm · fact
S••••• L•••• C•••••• left V•••• F•••••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-03-28)
Jan 13, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: STATE REGISTEREDderived
Years in industry: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address