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••• S•••••• V••••

M•••• F•••••••• A•••••••BD affiliatedSpokane, Wa dual registrantIAPD 2513965

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

2 y

since Mar 8, 2024

In the industry

32 y

since Aug 24, 1994 (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

M•••• F•••••••• A••••••• BD affiliated current
since Mar 8, 2024 · Alpharetta, Ga
M•••••• A•••••• N•••••• BD affiliated
Jul 6, 2016 to Mar 8, 2024 · Spokane, Wa
L•• F•••••••• L•• BD affiliated
Sep 8, 2009 to Aug 16, 2024 · Spokane, Wa
A••••••••• P••••••• I••••••••• A••••••• I•• unclassified
Dec 1, 2008 to Sep 30, 2009 · Boston, Ma
A••••••••• S••••••••• C•••• unclassified
Dec 1, 2008 to Sep 8, 2009 · Boston, Ma
S•••••••• W••••• A••••••• G•••• former
Jul 18, 2007 to Jul 6, 2016 · Spokane, Wa
F•• A••••••• L•• former
May 31, 2004 to Dec 31, 2010 · Seal Beach, Ca
P•••••••• S••••••••• I••• BD affiliated
Feb 15, 2000 to Jan 7, 2003 · Des Moines, Ia

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to M•••••• A•••••• N••••••
left Aug 16, 2024, registered Jul 6, 2016 (-2963 days) · Other
M•••••• A•••••• N•••••• to M•••• F•••••••• A•••••••
left Mar 8, 2024, registered Mar 8, 2024 (0 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• W••••• A••••••• G•••• to A••••••••• S••••••••• C••••
left Jul 6, 2016, registered Dec 1, 2008 (-2774 days) · Other
F•• A••••••• L•• to S•••••••• W••••• A••••••• G••••
left Dec 31, 2010, registered Jul 18, 2007 (-1262 days) · Other
A••••••••• P••••••• I••••••••• A••••••• I•• to L•• F•••••••• L••
left Sep 30, 2009, registered Sep 8, 2009 (-22 days) · Other
A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••
left Sep 8, 2009, registered Dec 1, 2008 (-281 days) · Other
P•••••••• S••••••••• I••• to F•• A••••••• L••
left Jan 7, 2003, registered May 31, 2004 (510 days) · Other

Signals

P••• S•••••• V•••• left L•• F•••••••• L•• for M•••••• A•••••• N•••••• (registered 2016-07-06)
Aug 16, 2024 · a•••••• firm change · fact
P••• S•••••• V•••• left M•••••• A•••••• N•••••• for M•••• F•••••••• A••••••• (registered 2024-03-08)
Mar 8, 2024 · a•••••• firm change · 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