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

C•••••• E••• G••••

A••••••• C•••••• M••••••••• L••independent RIATacoma, Wa IA-onlyIAPD 1317916

Feed of 09/15/2026

Also filed as E••• G••••

At current firm

1 y

since Oct 24, 2024

In the industry

41 y

since Dec 17, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••• C•••••• M••••••••• L•• independent RIA current
since Oct 24, 2024 · Tacoma, Wa
E•••••••• A•••••••• L•• national BD
Apr 25, 2022 to Feb 7, 2023 · Bellevue, Wa
C••••• I••••••••• A••••••• L•• BD affiliated
Dec 18, 2020 to Apr 22, 2022 · Renton, Wa
C••• F•••••••• S•••••••• L••• former
Dec 10, 2015 to Nov 23, 2020 · Las Vegas, Nv
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 29, 2015 to Dec 15, 2015 · Henderson, Nv
L••••• A•••••••• L•• former
May 28, 2013 to Jan 2, 2015 · Las Vegas, Nv
V•••• F•••••••• A•••••••• I••• BD affiliated
Mar 5, 2010 to May 30, 2013 · Las Vegas, Nv

Moves

a registration end followed by a registration begin elsewhere

E•••••••• A•••••••• L•• to A••••••• C•••••• M••••••••• L••
left Feb 7, 2023, registered Oct 24, 2024 (625 days) · Affiliated broker-dealer or bank to a newly registered adviser
C••••• I••••••••• A••••••• L•• to E•••••••• A•••••••• L••
left Apr 22, 2022, registered Apr 25, 2022 (3 days) · Affiliated broker-dealer or bank to another
C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••
left Nov 23, 2020, registered Dec 18, 2020 (25 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••
left Dec 15, 2015, registered Dec 10, 2015 (-5 days) · Other
L••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 2, 2015, registered Jan 29, 2015 (27 days) · Other
V•••• F•••••••• A•••••••• I••• to L••••• A•••••••• L••
left May 30, 2013, registered May 28, 2013 (-2 days) · Other

Signals

C•••••• E••• G•••• left E•••••••• A•••••••• L•• for A••••••• C•••••• M••••••••• L•• (registered 2024-10-24)
Feb 7, 2023 · Advisor changed firm · fact
C•••••• E••• G•••• left C••••• I••••••••• A••••••• L•• for E•••••••• A•••••••• L•• (registered 2022-04-25)
Apr 22, 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: Independent wealth managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address