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••• P•••••• S••••••

C••••• I••••••••• A••••••• L••BD affiliatedBremerton, Wadual registrantIAPD 2390418

Feed of 09/14/2026

Also filed as S••• P•••••• S••••••

At current firm

1 y

since Sep 5, 2025

In the industry

32 y

since Sep 20, 1993 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Sep 5, 2025 · Bremerton, Wa
A•••••• A••••••• S••••••• former
Sep 11, 2024 to Sep 5, 2025 · Dallas, Tx
W•••• E••••• G••••• I••• BD affiliated
Sep 12, 2007 to Sep 12, 2024 · Poulsbo, Wa
F•••••••• L••••••••• A•••••••• I••• unclassified
Jun 27, 2007 to Sep 27, 2007 · Poulsbo, Wa
I•••••••• C•••••• A••••••• former
May 10, 2005 to Jun 19, 2007 · Tulsa, Ok
E•••••• P•••• A••••••• I••• unclassified
Dec 16, 2002 to May 12, 2005 · Poulsbo, Wa

Moves

a registration end followed by a registration begin elsewhere

A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••
left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
W•••• E••••• G••••• I••• to A•••••• A••••••• S•••••••
left Sep 12, 2024, registered Sep 11, 2024 (-1 days) · Affiliated broker-dealer or bank to another
F•••••••• L••••••••• A•••••••• I••• to W•••• E••••• G••••• I•••
left Sep 27, 2007, registered Sep 12, 2007 (-15 days) · Other
I•••••••• C•••••• A••••••• to F•••••••• L••••••••• A•••••••• I•••
left Jun 19, 2007, registered Jun 27, 2007 (8 days) · Other
E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••
left May 12, 2005, registered May 10, 2005 (-2 days) · Other

Signals

S••• P•••••• S•••••• left W•••• E••••• G••••• I••• for A•••••• A••••••• S••••••• (registered 2024-09-11)
Sep 12, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address