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

M••• T••••• D••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedTacoma, Wa dual registrantIAPD 3018394

Feed of 09/14/2026

At current firm

2 y

since Feb 20, 2024

In the industry

28 y

since Mar 6, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Feb 20, 2024 · Seattle, Wa
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 1, 2023 to Oct 18, 2023 · Seattle, Wa
S•••••• P••••••• I••••••••• S••••••••• L•• former
Mar 9, 2020 to Mar 1, 2023 · Seattle, Wa
U••• B•••••• I••••••••• I••• former
Jun 23, 2017 to Feb 21, 2020 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Aug 11, 2016 · Bellevue, Wa
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Sep 25, 2009 to Oct 23, 2009 · Seattle, Wa
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Mar 8, 2000 to Mar 26, 2009 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Oct 18, 2023, registered Feb 20, 2024 (125 days) · corporate re-registration, not a move
S•••••• P••••••• I••••••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 1, 2023, registered Mar 1, 2023 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
U••• B•••••• I••••••••• I••• to S•••••• P••••••• I••••••••• S••••••••• L••
left Feb 21, 2020, registered Mar 9, 2020 (17 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••
left Aug 11, 2016, registered Jun 23, 2017 (316 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move

Signals

M••• T••••• D•••• left S•••••• P••••••• I••••••••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-03-01)
Mar 1, 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: 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