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

D••••• F•• W•••••

W•••• F•••• A•••••••wirehouseSeattle, Wa dual registrantIAPD 4515434

Feed of 09/15/2026

Also filed as D••••• F•• W•••••

At current firm

0 y

since Jul 22, 2026

In the industry

24 y

since May 17, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Jul 22, 2026 · Tarpon Springs, Fl
P•••••• P•••••• W••••• L•• independent RIA
Feb 26, 2025 to Mar 12, 2026 · Bellevue, Wa
F••••••• P••••••• A•• W•••••••• A••••••• former
Apr 24, 2023 to Jan 9, 2025 · Bellevue, Wa
C•••••• C••••••••• • A•••• M••••••••• independent RIA
Jan 3, 2023 to Mar 31, 2023 · Lincoln, Ne
S•• I••••••••• S••••••• I••• former
Jul 30, 2015 to Jan 4, 2021 · Seattle, Wa
S•••••••• A••••••• L•• national BD
Dec 16, 2010 to Jul 27, 2015 · Palo Alto, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
May 28, 2002 to May 18, 2010 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

P•••••• P•••••• W••••• L•• to W•••• F•••• A•••••••
left Mar 12, 2026, registered Jul 22, 2026 (132 days) · RIA to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to P•••••• P•••••• W••••• L••
left Jan 9, 2025, registered Feb 26, 2025 (48 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• C••••••••• • A•••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Mar 31, 2023, registered Apr 24, 2023 (24 days) · RIA to affiliated broker-dealer or bank
S•• I••••••••• S••••••• I••• to C•••••• C••••••••• • A•••• M•••••••••
left Jan 4, 2021, registered Jan 3, 2023 (729 days) · RIA to RIA
S•••••••• A••••••• L•• to S•• I••••••••• S••••••• I•••
left Jul 27, 2015, registered Jul 30, 2015 (3 days) · Other
A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••
left May 18, 2010, registered Dec 16, 2010 (212 days) · Affiliated broker-dealer or bank to another

Signals

D••••• F•• W••••• left P•••••• P•••••• W••••• L•• for W•••• F•••• A••••••• (registered 2026-07-22)
Mar 12, 2026 · Advisor changed firm · fact
D••••• F•• W••••• left F••••••• P••••••• A•• W•••••••• A••••••• for P•••••• P•••••• W••••• L•• (registered 2025-02-26)
Jan 9, 2025 · Advisor changed firm · fact
D••••• F•• W••••• left C•••••• C••••••••• • A•••• M••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-24)
Mar 31, 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: Wirehousederived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address