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

M••• A••••• D• F••••

E•••••• F•••••••• E••••••independent RIABlack Diamond, WaIA-onlyIAPD 2252248

Feed of 09/14/2026

Also filed as M••• A Def••••

At current firm

4 y

since Aug 9, 2022

In the industry

33 y

since Dec 21, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

E•••••• F•••••••• E•••••• independent RIA current
since Aug 9, 2022 · Black Diamond, Wa
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 23, 2019 to Jun 30, 2020 · Tukwila, Wa
S•••••••• I••••••••• M••••••••• former
Sep 16, 2016 to Mar 17, 2017 · Saint Louis, Mo
M••••• S•••••• wirehouse
Jun 24, 2011 to Apr 18, 2012 · Kirkland, Wa
S••••••• F•••••••• S•••••••• I••• former
Jun 20, 2008 to Sep 3, 2009 · Bellevue, Wa
C•••••• S••••• • C••• I••• national BD
Jan 15, 2008 to Jun 9, 2008 · Bellevue, Wa
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 25, 2006 to Dec 4, 2007 · Bellevue, Wa
T• A••••••••• I••• former
Jan 26, 2006 to Dec 4, 2007 · Bellevue, Wa
W••• I••••••••• I••• unclassified
Jun 29, 2005 to Jan 30, 2006 · Sammamish, Wa
A• G• E•••••• • S•••• I••• unclassified
Nov 25, 2004 to Jun 23, 2005 · Kirkland, Wa

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• F•••••••• E••••••
left Jun 30, 2020, registered Aug 9, 2022 (770 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• I••••••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Mar 17, 2017, registered Jul 23, 2019 (858 days) · Other
M••••• S•••••• to S•••••••• I••••••••• M•••••••••
left Apr 18, 2012, registered Sep 16, 2016 (1612 days) · Other
S••••••• F•••••••• S•••••••• I••• to M••••• S••••••
left Sep 3, 2009, registered Jun 24, 2011 (659 days) · Other
C•••••• S••••• • C••• I••• to S••••••• F•••••••• S•••••••• I•••
left Jun 9, 2008, registered Jun 20, 2008 (11 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Dec 4, 2007, registered Jan 15, 2008 (42 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 4, 2007, registered Apr 25, 2006 (-588 days) · channel change inside one enterprise, not a move
W••• I••••••••• I••• to T• A••••••••• I•••
left Jan 30, 2006, registered Jan 26, 2006 (-4 days) · Other
A• G• E•••••• • S•••• I••• to W••• I••••••••• I•••
left Jun 23, 2005, registered Jun 29, 2005 (6 days) · Other

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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address