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

S••••• D••••• G••••••

E•••• S••••••••• L••BD affiliatedPortland, Ordual registrantIAPD 3242906

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

3 y

since May 17, 2023

In the industry

27 y

since Jul 22, 1999 (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

E•••• S••••••••• L•• BD affiliated current
since May 17, 2023 · Portland, Or
M• H••••••• S••••••••• I••• BD affiliated
Apr 23, 2019 to Mar 18, 2022 · Portland, Or
W•••• F•••• A••••••• wirehouse
Jul 9, 2012 to Apr 8, 2019 · Portland, Or
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Mar 21, 2006 to Jul 6, 2012 · Portland, Or
L•• F•••••••• L•• BD affiliated
Jun 22, 2005 to Feb 24, 2006 · Portland, Or
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Feb 11, 2005 · Portland, Or
Q•••• • R•••••• I••• unclassified
May 9, 2003 to Oct 20, 2004 · Portland, Or

Moves

a registration end followed by a registration begin elsewhere

M• H••••••• S••••••••• I••• to E•••• S••••••••• L••
left Mar 18, 2022, registered May 17, 2023 (425 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to M• H••••••• S••••••••• I•••
left Apr 8, 2019, registered Apr 23, 2019 (15 days) · Wirehouse to affiliated broker-dealer or bank
N••••••••• M••••• I••••••••• S••••••••• to W•••• F•••• A•••••••
left Jul 6, 2012, registered Jul 9, 2012 (3 days) · Other
L•• F•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••
left Feb 24, 2006, registered Mar 21, 2006 (25 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••
left Feb 11, 2005, registered Jun 22, 2005 (131 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

Signals

S••••• D••••• G•••••• left M• H••••••• S••••••••• I••• for E•••• S••••••••• L•• (registered 2023-05-17)
Mar 18, 2022 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address