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•••• E•••••• S••••••

I•••••••• W••••• L••independent RIAEugene, OrIA-onlyIAPD 2776777

Certified Financial Planner

Feed of 09/14/2026

Also filed as S•••• E••••••E S••••••

At current firm

1 y

since Jan 17, 2025

In the industry

30 y

since Aug 2, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I•••••••• W••••• L•• independent RIA current
since Jan 17, 2025 · Eugene, Or
T••• P•••••• W••••• A•••••••• L•• independent RIA
May 4, 2018 to Jul 10, 2024 · Eugene, Or
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 8, 2010 to May 8, 2018 · Eugene, Or
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jan 2, 2009 to Jul 27, 2009 · Saint Petersburg, Fl
C••••• A•• C••••• F•••••••• unclassified
Sep 8, 2006 to Dec 31, 2008 · Eugene, Or
R•••••• J•••• F•••••••• S•••••••• I••• unclassified
Oct 18, 2004 to Jan 2, 2009 · Veneta, Or

Moves

a registration end followed by a registration begin elsewhere

T••• P•••••• W••••• A•••••••• L•• to I•••••••• W••••• L••
left Jul 10, 2024, registered Jan 17, 2025 (191 days) · RIA to RIA · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••• P•••••• W••••• A•••••••• L••
left May 8, 2018, registered May 4, 2018 (-4 days) · Wirehouse to independent RIA · moved with a team
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 27, 2009, registered Feb 8, 2010 (196 days) · Other
R•••••• J•••• F•••••••• S•••••••• I••• to C••••• A•• C••••• F••••••••
left Jan 2, 2009, registered Sep 8, 2006 (-847 days) · Other
C••••• A•• C••••• F•••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Dec 31, 2008, registered Jan 2, 2009 (2 days) · Other

Signals

S•••• E•••••• S•••••• left T••• P•••••• W••••• A•••••••• L•• for I•••••••• W••••• L•• (registered 2025-01-17)
Jul 10, 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address