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

P••• E••••• G•••••••

G•••••••• F•••••••• A•••••••• L••institutionalBellevue, Wadual registrantIAPD 1859227

Feed of 09/14/2026

Also filed as P••• G•••••••

At current firm

4 y

since May 9, 2022

In the industry

37 y

since Jan 6, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

G•••••••• F•••••••• A•••••••• L•• institutional current
since May 9, 2022 · Bellevue, Wa
K••••• A••••••• S•••••••• L•• BD affiliated
Sep 21, 2018 to Apr 6, 2022 · Bellevue, Wa
L•• F•••••••• L•• BD affiliated
Jan 13, 2016 to Jan 14, 2016 · Olympia, Wa
F•••••••• A•••••••• I••••••••• M••••••••• former
Nov 10, 2010 to Apr 10, 2019 · Seattle, Wa
N•• A•••••••• I••• unclassified
Mar 4, 2008 to Dec 1, 2010 · Seattle, Wa
N•• F••••••••• I••• unclassified
Nov 30, 2006 to Oct 15, 2008 · Seattle, Wa
F•••••••• T••••••• I••• former
Mar 4, 2005 to Nov 30, 2006 · Seattle, Wa
W•••• F•••• A••••••• wirehouse
Dec 5, 2002 to Mar 15, 2005 · Seattle, Wa
C••• W•••• M•••••• C•••• unclassified
Jan 26, 1999 to Jun 27, 2002 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to G•••••••• F•••••••• A•••••••• L••
left Apr 6, 2022, registered May 9, 2022 (33 days) · Other
F•••••••• A•••••••• I••••••••• M••••••••• to L•• F•••••••• L••
left Apr 10, 2019, registered Jan 13, 2016 (-1183 days) · Other · moved with a team
L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••
left Jan 14, 2016, registered Sep 21, 2018 (981 days) · Other
N•• A•••••••• I••• to F•••••••• A•••••••• I••••••••• M•••••••••
left Dec 1, 2010, registered Nov 10, 2010 (-21 days) · Other
N•• F••••••••• I••• to N•• A•••••••• I•••
left Oct 15, 2008, registered Mar 4, 2008 (-225 days) · corporate re-registration, not a move
F•••••••• T••••••• I••• to N•• F••••••••• I•••
left Nov 30, 2006, registered Nov 30, 2006 (0 days) · Other
W•••• F•••• A••••••• to F•••••••• T••••••• I•••
left Mar 15, 2005, registered Mar 4, 2005 (-11 days) · Other
C••• W•••• M•••••• C•••• to W•••• F•••• A•••••••
left Jun 27, 2002, registered Dec 5, 2002 (161 days) · Other

Signals

P••• E••••• G••••••• left K••••• A••••••• S•••••••• L•• for G•••••••• F•••••••• A•••••••• L•• (registered 2022-05-09)
Apr 6, 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: Institutional managerderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address