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

A••••• R••••• T••••••••

C•••••••• W••••• P•••••••state registeredGig Harbor, Wa IA-onlyIAPD 2700085

Certified Financial Planner

Feed of 09/15/2026

Also filed as A J T••••••••

At current firm

7 y

since Apr 17, 2019

In the industry

30 y

since Jan 12, 1996 (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

C•••••••• W••••• P••••••• state registered current
since Jan 1, 2020 · Gig Harbor, Wa
C••••••••• F•••••••• N•••••• national BD current
since Apr 17, 2019 · Gig Harbor, Wa
W•••• F•••• A••••••• wirehouse
Sep 30, 2011 to Apr 24, 2019 · Silverdale, Wa
M••••• S•••••• wirehouse
Jun 1, 2009 to Oct 17, 2011 · Silverdale, Wa
C•••••••• G••••• M•••••• I••• BD affiliated
Nov 4, 2005 to Jun 1, 2009 · Silverdale, Wa
M••••• S•••••• D• I••• unclassified
May 20, 1997 to Nov 10, 2005 · Gig Harbor, Wa

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••
left Apr 24, 2019, registered Apr 17, 2019 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to W•••• F•••• A•••••••
left Oct 17, 2011, registered Sep 30, 2011 (-17 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••
left Nov 10, 2005, registered Nov 4, 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: STATE REGISTEREDderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address