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•••••• B•••••

S•• A••••••• L••independent RIAKirkland, WaIA-onlyIAPD 2839515

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since May 9, 2025

In the industry

29 y

since Sep 10, 1997 (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

S•• A••••••• L•• independent RIA current
since May 9, 2025 · Kirkland, Wa
J••••• C•••••• A••••••• L•• former
Mar 2, 2023 to Mar 16, 2023 · Redmond, Wa
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Mar 6, 2023 · Bellevue, Wa
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 1, 2015 to Mar 6, 2023 · Bellevue, Wa
T• A••••••••• I••• former
Dec 1, 2015 to Oct 14, 2022 · Bellevue, Wa
F•••••••• A•••••••• I••••••••• M••••••••• former
Oct 1, 2014 to Nov 11, 2015 · Bellevue, Wa
C•••••• S••••• • C••• I••• national BD
Oct 24, 2005 to Sep 26, 2014 · Seattle, Wa
E•••••• C•••••• M••••••••• L•• former
Oct 14, 2003 to Oct 5, 2005 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

J••••• C•••••• A••••••• L•• to S•• A••••••• L••
left Mar 16, 2023, registered May 9, 2025 (785 days) · RIA to RIA
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Mar 6, 2023, registered Jan 26, 2022 (-404 days) · channel change inside one enterprise, not a move
C•••••• S••••• • C••• I••• to J••••• C•••••• A••••••• L••
left Mar 6, 2023, registered Mar 2, 2023 (-4 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Dec 1, 2015 (-2509 days) · corporate re-registration, not a move
F•••••••• A•••••••• I••••••••• M••••••••• to T• A••••••••• I•••
left Nov 11, 2015, registered Dec 1, 2015 (20 days) · Other
C•••••• S••••• • C••• I••• to F•••••••• A•••••••• I••••••••• M•••••••••
left Sep 26, 2014, registered Oct 1, 2014 (5 days) · Other
E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Oct 5, 2005, registered Oct 24, 2005 (19 days) · Other

Signals

C••• B•••••• B••••• left J••••• C•••••• A••••••• L•• for S•• A••••••• L•• (registered 2025-05-09)
Mar 16, 2023 · Advisor changed firm · fact
C••• B•••••• B••••• left C•••••• S••••• • C••• I••• for J••••• C•••••• A••••••• L•• (registered 2023-03-02)
Mar 6, 2023 · 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address