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

B•••• R••••• B•••••••••

O•••• W•••••• I•••BD affiliatedCle Elum, Wadual registrantIAPD 2883618

Feed of 09/14/2026

At current firm

1 y

since Jul 1, 2025

In the industry

24 y

since Jan 28, 2002 (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

O•••• W•••••• I••• BD affiliated current
since Jul 1, 2025 · Cle Elum, Wa
C••••••••• F•••••••• N•••••• national BD
May 15, 2020 to Jul 2, 2025 · San Diego, Ca
S•••••• P••••••• I••••••••• S••••••••• L•• former
Oct 30, 2012 to May 15, 2020 · Seattle, Wa
C••••• I••••••••• S••••••• L•• former
Oct 12, 2011 to Oct 24, 2012 · Kent, Wa
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 19, 2011 to Oct 17, 2011 · Bellevue, Wa
K•• I••••••••• S••••••• L•• BD affiliated
May 18, 2010 to Aug 23, 2011 · Tacoma, Wa
H••••••••• G•••• F•••••••• A•••••••• L•• former
May 5, 2010 to May 18, 2010 · Edmond, Wa
W••• I••••••••• I••• unclassified
Jan 28, 2002 to Feb 19, 2004 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to O•••• W•••••• I•••
left Jul 2, 2025, registered Jul 1, 2025 (-1 days) · Affiliated broker-dealer or bank to another
S•••••• P••••••• I••••••••• S••••••••• L•• to C••••••••• F•••••••• N••••••
left May 15, 2020, registered May 15, 2020 (0 days) · RIA to affiliated broker-dealer or bank
C••••• I••••••••• S••••••• L•• to S•••••• P••••••• I••••••••• S••••••••• L••
left Oct 24, 2012, registered Oct 30, 2012 (6 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• S••••••• L••
left Oct 17, 2011, registered Oct 12, 2011 (-5 days) · Other
K•• I••••••••• S••••••• L•• to A••••••••• F•••••••• S•••••••• L••
left Aug 23, 2011, registered Aug 19, 2011 (-4 days) · Other
H••••••••• G•••• F•••••••• A•••••••• L•• to K•• I••••••••• S••••••• L••
left May 18, 2010, registered May 18, 2010 (0 days) · Other
W••• I••••••••• I••• to H••••••••• G•••• F•••••••• A•••••••• L••
left Feb 19, 2004, registered May 5, 2010 (2267 days) · Other

Signals

B•••• R••••• B••••••••• left C••••••••• F•••••••• N•••••• for O•••• W•••••• I••• (registered 2025-07-01)
Jul 2, 2025 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address