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.
Registered advisor
Samuel Chapman Maxwell
Feed of 09/14/2026
Also filed as Sam Maxwell
At current firm
1 y
since Jul 1, 2025
In the industry
35 y
since May 31, 1991 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Focus Partners Wealth, LLC independent RIA currentsince Jul 1, 2025 · Kirkland, Wa
- Bordeaux Wealth Advisors formerMay 1, 2024 to Oct 3, 2025 · Kirkland, Wa
- Executive Wealth Group, LLC formerApr 10, 2017 to Jun 18, 2024 · Kirkland, Wa
- Morgan Stanley wirehouseJun 1, 2009 to Apr 11, 2017 · Seattle, Wa
- Morgan Stanley & Co. LLC unclassifiedJan 14, 2008 to Jun 1, 2009 · Seattle, Wa
- RBC Capital Markets, LLC national BDJul 16, 1996 to Jan 17, 2008 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- Bordeaux Wealth Advisors to Focus Partners Wealth, LLCleft Oct 3, 2025, registered Jul 1, 2025 (-94 days) · channel change inside one enterprise, not a move · moved with a team
- Executive Wealth Group, LLC to Bordeaux Wealth Advisorsleft Jun 18, 2024, registered May 1, 2024 (-48 days) · RIA to RIA
- Morgan Stanley to Executive Wealth Group, LLCleft Apr 11, 2017, registered Apr 10, 2017 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- RBC Capital Markets, LLC to Morgan Stanley & Co. LLCleft Jan 17, 2008, registered Jan 14, 2008 (-3 days) · Other
Signals
- Samuel Chapman Maxwell left Executive Wealth Group, Llc for Bordeaux Wealth Advisors (registered 2024-05-01)Jun 18, 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address