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

R•••• L••• P•••••••

R•• C•••••• M••••••• L••national BDSeattle, Wa dual registrantIAPD 4805274

Feed of 09/15/2026

Also filed as R•••• L••• P•••••••

At current firm

1 y

since Feb 13, 2025

In the industry

14 y

since May 1, 2012 (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

R•• C•••••• M••••••• L•• national BD current
since Feb 13, 2025 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 17, 2022 to Feb 12, 2025 · Bainbridge Island, Wa
N••••••••• M••••• I••••••••• S••••••••• no RAUM
Nov 8, 2021 to Jan 31, 2022 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 2, 2020 to Oct 20, 2021 · Bainbridge Island, Wa
R••••• W• B•••• • C•• I••••••••• mixed wealth
May 2, 2017 to Feb 28, 2020 · Seattle, Wa
M••••• S•••••• wirehouse
Apr 20, 2015 to May 1, 2017 · Silverdale, Wa

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••
left Feb 12, 2025, registered Feb 13, 2025 (1 days) · Wirehouse to affiliated broker-dealer or bank
N••••••••• M••••• I••••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 31, 2022, registered May 17, 2022 (106 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••
left Oct 20, 2021, registered Nov 8, 2021 (19 days) · Other
R••••• W• B•••• • C•• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 28, 2020, registered Mar 2, 2020 (3 days) · RIA to wirehouse
M••••• S•••••• to R••••• W• B•••• • C•• I•••••••••
left May 1, 2017, registered May 2, 2017 (1 days) · Other

Signals

R•••• L••• P••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for R•• C•••••• M••••••• L•• (registered 2025-02-13)
Feb 12, 2025 · Advisor changed firm · fact
R•••• L••• P••••••• left N••••••••• M••••• I••••••••• S••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-05-17)
Jan 31, 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address