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

T•••• R••••• C•••••

L•• F•••••••• L••BD affiliatedOlympia, Wa dual registrantIAPD 2951394

Feed of 09/15/2026

Also filed as Terrence C•••••

At current firm

2 y

since Sep 22, 2023

In the industry

28 y

since Oct 25, 1997 (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

L•• F•••••••• L•• BD affiliated current
since Sep 22, 2023 · Olympia, Wa
F•••••••• A•••••••• I••••••••• M••••••••• former
Jan 10, 2017 to Oct 6, 2023 · Olympia, Wa
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 5, 2009 to May 14, 2013 · Minneapolis, Mn
A••••••••• A•••••• S•••••••• I••• unclassified
Jan 29, 2004 to Oct 5, 2009 · Tacoma, Wa
C•••••••• G••••• M•••••• I••• BD affiliated
May 29, 2002 to Dec 4, 2003 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

F•••••••• A•••••••• I••••••••• M••••••••• to L•• F•••••••• L••
left Oct 6, 2023, registered Sep 22, 2023 (-14 days) · RIA to affiliated broker-dealer or bank · moved with a team
A••••••••• F•••••••• S•••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••
left May 14, 2013, registered Jan 10, 2017 (1337 days) · Other
A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to A••••••••• A•••••• S•••••••• I•••
left Dec 4, 2003, registered Jan 29, 2004 (56 days) · Other

Signals

T•••• R••••• C••••• left F•••••••• A•••••••• I••••••••• M••••••••• for L•• F•••••••• L•• (registered 2023-09-22)
Oct 6, 2023 · a•••••• firm change · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address