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.

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Registered advisor

C••• A••••• K•••••

R•• A•••••••• L••independent RIATacoma, Wa IA-onlyIAPD 4847190

Feed of 09/15/2026

At current firm

0 y

since Jul 31, 2026

In the industry

19 y

since May 8, 2007 (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

R•• A•••••••• L•• independent RIA current
since Jul 31, 2026 · Tacoma, Wa
E•••••• F•••••••• E•••••• independent RIA
Nov 30, 2016 to Aug 21, 2026 · Federal Way, Wa
F•••••••• E•••••• A•••••• C•••••• L•• former
Oct 10, 2016 to Nov 30, 2016 · Federal Way, Wa
E•••••• C•••••• M••••••••• L•• former
Jan 9, 2009 to Jan 29, 2010 · Arlington, Va
S••••••• I••••••••• A•••••••• I••• other
Apr 11, 2008 to Oct 20, 2008 · Bellevue, Wa
R•••••• I••••••••• asset manager
Dec 7, 2007 to Dec 21, 2007 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to R•• A•••••••• L••
left Aug 21, 2026, registered Jul 31, 2026 (-21 days) · RIA to RIA
F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••
left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
E•••••• C•••••• M••••••••• L•• to F•••••••• E•••••• A•••••• C•••••• L••
left Jan 29, 2010, registered Oct 10, 2016 (2446 days) · Other
S••••••• I••••••••• A•••••••• I••• to E•••••• C•••••• M••••••••• L••
left Oct 20, 2008, registered Jan 9, 2009 (81 days) · Other
R•••••• I••••••••• to S••••••• I••••••••• A•••••••• I•••
left Dec 21, 2007, registered Apr 11, 2008 (112 days) · Other

Signals

C••• A••••• K••••• left E•••••• F•••••••• E•••••• for R•• A•••••••• L•• (registered 2026-07-31)
Aug 21, 2026 · a•••••• firm change · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address