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

C•••• T• N•••••

K•• I••••••••• S••••••• L••BD affiliatedBrooklyn, Ohdual registrantIAPD 4671665

Feed of 09/14/2026

Also filed as Emi Nguyen

At current firm

1 y

since May 1, 2025

In the industry

23 y

since Jun 17, 2003 (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

K•• I••••••••• S••••••• L•• BD affiliated current
since May 1, 2025 · Brooklyn, Oh
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Mar 7, 2024 to Apr 9, 2025 · Tacoma, Wa
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 1, 2023 to Oct 18, 2023 · Seattle, Wa
S•••••• P••••••• I••••••••• S••••••••• L•• former
Apr 26, 2016 to Mar 6, 2023 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to K•• I••••••••• S••••••• L••
left Apr 9, 2025, registered May 1, 2025 (22 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Oct 18, 2023, registered Mar 7, 2024 (141 days) · corporate re-registration, not a move
S•••••• P••••••• I••••••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 6, 2023, registered Mar 1, 2023 (-5 days) · RIA to affiliated broker-dealer or bank · moved with a team

Signals

C•••• T• N••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for K•• I••••••••• S••••••• L•• (registered 2025-05-01)
Apr 9, 2025 · Advisor changed firm · fact
C•••• T• N••••• left S•••••• P••••••• I••••••••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-03-01)
Mar 6, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address