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.

Registered advisor

Eric Michael Flaten

Simplicity Wealthmixed wealthEast Wenatchee, Wa IA-onlyIAPD 2816498

Feed of 09/15/2026

At current firm

1 y

since Feb 19, 2025

In the industry

29 y

since Dec 31, 1996 (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

Simplicity Wealth mixed wealth current
since Feb 19, 2025 · East Wenatchee, Wa
Lifepro Asset Management former
Aug 2, 2024 to Feb 14, 2025 · San Diego, Ca
Sowell Management independent RIA
Sep 26, 2016 to Oct 18, 2024 · Port Orchard, Wa
Concert Wealth Management former
Sep 3, 2015 to Jan 3, 2017 · Port Oakland, Wa
Morgan Stanley wirehouse
Jun 1, 2009 to Sep 24, 2015 · Seattle, Wa
Citigroup Global Markets Inc. BD affiliated
Feb 22, 2008 to Jun 1, 2009 · Seattle, Wa
Wells Fargo Investments, LLC unclassified
Mar 28, 2003 to Feb 25, 2008 · Seattle, Wa
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Aug 13, 1999 to Apr 3, 2003 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

Lifepro Asset Management to Simplicity Wealth
left Feb 14, 2025, registered Feb 19, 2025 (5 days) · corporate re-registration, not a move
Sowell Management to Lifepro Asset Management
left Oct 18, 2024, registered Aug 2, 2024 (-77 days) · RIA to RIA
Concert Wealth Management to Sowell Management
left Jan 3, 2017, registered Sep 26, 2016 (-99 days) · Other · moved with a team
Morgan Stanley to Concert Wealth Management
left Sep 24, 2015, registered Sep 3, 2015 (-21 days) · Other
Citigroup Global Markets Inc. to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Wells Fargo Investments, LLC to Citigroup Global Markets Inc.
left Feb 25, 2008, registered Feb 22, 2008 (-3 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Wells Fargo Investments, LLC
left Apr 3, 2003, registered Mar 28, 2003 (-6 days) · Other

Signals

Eric Michael Flaten left Sowell Management for Lifepro Asset Management (registered 2024-08-02)
Oct 18, 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: Wealth manager with institutional or fund businessderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address