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.
Feed of 09/15/2026
At current firm
7 y
since May 13, 2019
In the industry
41 y
since Aug 26, 1985 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- The Institute independent RIA currentsince May 13, 2019 · Seattle, Wa
- Institute For Wealth Consultants, Inc. formerJan 1, 2018 to Apr 30, 2019 · Seattle, Wa
- Concert Wealth Management formerMay 19, 2014 to Mar 26, 2018 · Seattle, Wa
- Northwest Asset Management independent RIAMar 16, 2012 to Apr 11, 2013 · Mercer Island, Wa
- Wells Fargo Advisors wirehouseJul 1, 2003 to Mar 13, 2012 · Seattle, Wa
- Prudential Equity Group, LLC unclassifiedJun 30, 1992 to Jul 1, 2003 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- Institute For Wealth Consultants, Inc. to The Instituteleft Apr 30, 2019, registered May 13, 2019 (13 days) · RIA to RIA
- Concert Wealth Management to Institute For Wealth Consultants, Inc.left Mar 26, 2018, registered Jan 1, 2018 (-84 days) · RIA to a newly registered adviser
- Northwest Asset Management to Concert Wealth Managementleft Apr 11, 2013, registered May 19, 2014 (403 days) · Other
- Wells Fargo Advisors to Northwest Asset Managementleft Mar 13, 2012, registered Mar 16, 2012 (3 days) · Other
- Prudential Equity Group, LLC to Wells Fargo Advisorsleft Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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