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•••• J••• P••••••

C••••••••• W••••• M•••••••••independent RIAKirkland, Wa IA-onlyIAPD 4561408

Feed of 09/15/2026

Also filed as S•••• J••• Stephen P••••••

At current firm

2 y

since Oct 2, 2023

In the industry

25 y

since Jun 20, 2001 (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

C••••••••• W••••• M••••••••• independent RIA current
since Oct 2, 2023 · Kirkland, Wa
E•••• S••••••••• L•• BD affiliated
Jul 27, 2009 to Oct 3, 2023 · Dallas, Tx
S•••••• P•••••• A••••••• L•• former
Dec 21, 2005 to Mar 12, 2021 · Kirkland, Wa
O•••• F•• I••• former
Mar 2, 2005 to Nov 25, 2005 · Dallas, Tx
K••• I••••••••• A••••••• unclassified
Jun 20, 2001 to May 5, 2005 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

E•••• S••••••••• L•• to C••••••••• W••••• M•••••••••
left Oct 3, 2023, registered Oct 2, 2023 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
S•••••• P•••••• A••••••• L•• to E•••• S••••••••• L••
left Mar 12, 2021, registered Jul 27, 2009 (-4246 days) · Other
O•••• F•• I••• to S•••••• P•••••• A••••••• L••
left Nov 25, 2005, registered Dec 21, 2005 (26 days) · Other
K••• I••••••••• A••••••• to O•••• F•• I•••
left May 5, 2005, registered Mar 2, 2005 (-64 days) · Other

Signals

S•••• J••• P•••••• left E•••• S••••••••• L•• for C••••••••• W••••• M••••••••• (registered 2023-10-02)
Oct 3, 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: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address