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••••• R•••••• D•••••

L•• E••••••••• L••BD affiliatedLake Oswego, Ordual registrantIAPD 4686263

Feed of 09/14/2026

Also filed as Steve R•••••• D•••••

At current firm

1 y

since Dec 13, 2024

In the industry

22 y

since Oct 10, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Dec 13, 2024 · Lake Oswego, Or
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Dec 4, 2024 · Tillamook, Or
C••••••• A••••••• S•••••••• L•• former
Mar 8, 2018 to Jan 7, 2022 · Tillamook, Or
C••••• A••••••• L•• former
Feb 28, 2012 to Mar 21, 2024 · Greenwood Village, Co
P•••••• W••• F•••••••• C••••••••• I•• former
Jan 18, 2006 to Feb 28, 2012 · Renton, Wa
D•• I••••••• S••••••• unclassified
Feb 27, 2004 to Dec 13, 2005 · Tillamook, Or

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• E••••••••• L••
left Dec 4, 2024, registered Dec 13, 2024 (9 days) · Affiliated broker-dealer or bank to a newly registered adviser
C••••• A••••••• L•• to C••••••• A••••••• S•••••••• L••
left Mar 21, 2024, registered Mar 8, 2018 (-2205 days) · Other
C••••••• A••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 7, 2022, registered Mar 21, 2024 (804 days) · RIA to affiliated broker-dealer or bank · moved with a team
P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••
left Feb 28, 2012, registered Feb 28, 2012 (0 days) · corporate re-registration, not a move
D•• I••••••• S••••••• to P•••••• W••• F•••••••• C••••••••• I••
left Dec 13, 2005, registered Jan 18, 2006 (36 days) · Other

Signals

S••••• R•••••• D••••• left C••••• I••••••••• A••••••• L•• for L•• E••••••••• L•• (registered 2024-12-13)
Dec 4, 2024 · Advisor changed firm · fact
S••••• R•••••• D••••• left C••••• A••••••• L•• for C••••••• A••••••• S•••••••• L•• (registered 2018-03-08)
Mar 21, 2024 · Advisor changed firm · fact
S••••• R•••••• D••••• left C••••••• A••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)
Jan 7, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address