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•••• M••••••• S•••••

A••••• A•• P••••••• S•••••••BD affiliatedBellingham, Wa dual registrantIAPD 1968665

Feed of 09/14/2026

At current firm

0 y

since Nov 10, 2025

In the industry

37 y

since Sep 11, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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••••• A•• P••••••• S••••••• BD affiliated current
since Nov 10, 2025 · Bellevue, Wa
H•••••• • W•••• A•••• M••••••••• I••• BD affiliated
Jan 29, 2025 to Oct 21, 2025 · Sedro-Wooley, Wa
C••••• I••••••••• A••••••• L•• BD affiliated
Dec 22, 2021 to Apr 23, 2024 · Bellingham, Wa
C•••••• A••••••• L•• asset manager
Dec 17, 2012 to Mar 10, 2020 · Naperville, Il
C•••••• W••••• M••••••••• L•• independent RIA
Apr 20, 2009 to Dec 12, 2012 · Naperville, Il
C•••••• A••••••• L•• asset manager
Jun 29, 2006 to Nov 20, 2007 · Naperville, Il
T•• I••••••••• M••••••••• C•••••• L•• asset manager
Jan 1, 2001 to Jun 27, 2006 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

H•••••• • W•••• A•••• M••••••••• I••• to A••••• A•• P••••••• S•••••••
left Oct 21, 2025, registered Nov 10, 2025 (20 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to H•••••• • W•••• A•••• M••••••••• I•••
left Apr 23, 2024, registered Jan 29, 2025 (281 days) · Affiliated broker-dealer or bank to another
C•••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 10, 2020, registered Dec 22, 2021 (652 days) · Other
C•••••• W••••• M••••••••• L•• to C•••••• A••••••• L••
left Dec 12, 2012, registered Dec 17, 2012 (5 days) · Other
C•••••• A••••••• L•• to C•••••• W••••• M••••••••• L••
left Nov 20, 2007, registered Apr 20, 2009 (517 days) · Other
T•• I••••••••• M••••••••• C•••••• L•• to C•••••• A••••••• L••
left Jun 27, 2006, registered Jun 29, 2006 (2 days) · Other

Signals

S•••• M••••••• S••••• left H•••••• • W•••• A•••• M••••••••• I••• for A••••• A•• P••••••• S••••••• (registered 2025-11-10)
Oct 21, 2025 · Advisor changed firm · fact
S•••• M••••••• S••••• left C••••• I••••••••• A••••••• L•• for H•••••• • W•••• A•••• M••••••••• I••• (registered 2025-01-29)
Apr 23, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address