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•••• S••••• C•••••

L•• F•••••••• L••BD affiliatedEagle, Iddual registrantIAPD 4090240

Feed of 09/14/2026

Also filed as S•••• S••••• C•••••

At current firm

1 y

since Jan 15, 2025

In the industry

26 y

since Feb 18, 2000 (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

L•• F•••••••• L•• BD affiliated current
since Jan 15, 2025 · Eagle, Id
R•••••• J•••• • A••••••••• I••• national BD
Jun 22, 2020 to Jan 22, 2025 · Boise, Id
M••••• S•••••• wirehouse
Apr 19, 2013 to Jun 23, 2020 · Seattle, Wa
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to Apr 22, 2013 · Seattle, Wa
P••••••••• E••••• G••••• L•• unclassified
Jul 5, 2000 to Jul 1, 2003 · Seattlsausa, Wa

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••
left Jan 22, 2025, registered Jan 15, 2025 (-7 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left Jun 23, 2020, registered Jun 22, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M••••• S••••••
left Apr 22, 2013, registered Apr 19, 2013 (-3 days) · Wirehouse to wirehouse
P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Signals

S•••• S••••• C••••• left R•••••• J•••• • A••••••••• I••• for L•• F•••••••• L•• (registered 2025-01-15)
Jan 22, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address