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

C•••••• B•••••

L•• F•••••••• L••BD affiliatedKirkland, Wadual registrantIAPD 2610769

Feed of 09/14/2026

Also filed as C•••••• Job••••• Mcfall

At current firm

1 y

since Jul 10, 2025

In the industry

30 y

since Oct 31, 1995 (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

L•• F•••••••• L•• BD affiliated current
since Jul 10, 2025 · Kirkland, Wa
C•••••• G•••• • C• I•• former
Sep 26, 2022 to Jul 10, 2025 · Kirkland, Wa
O•••• W•••••• I••• BD affiliated
Nov 20, 2012 to Oct 11, 2022 · Scottsdale, Az
V•••••••• F••••••••• L•• former
Jun 22, 2005 to Nov 19, 2012 · Austin, Tx
C••••• A••••••• L•• former
Jan 1, 2004 to Jul 6, 2005 · Kirkland, Wa
V••••• S••••••••• C••••••••• unclassified
Oct 8, 1998 to Jan 1, 2004 · Kirkland, Wa

Moves

a registration end followed by a registration begin elsewhere

C•••••• G•••• • C• I•• to L•• F•••••••• L••
left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
O•••• W•••••• I••• to C•••••• G•••• • C• I••
left Oct 11, 2022, registered Sep 26, 2022 (-15 days) · Affiliated broker-dealer or bank to another
V•••••••• F••••••••• L•• to O•••• W•••••• I•••
left Nov 19, 2012, registered Nov 20, 2012 (1 days) · Other
C••••• A••••••• L•• to V•••••••• F••••••••• L••
left Jul 6, 2005, registered Jun 22, 2005 (-14 days) · Other
V••••• S••••••••• C••••••••• to C••••• A••••••• L••
left Jan 1, 2004, registered Jan 1, 2004 (0 days) · Other

Signals

C•••••• B••••• left O•••• W•••••• I••• for C•••••• G•••• • C• I•• (registered 2022-09-26)
Oct 11, 2022 · 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address