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

B•••• E••• A••••••••

H•••••• W••••• M••••••••• L••independent RIASeattle, WaIA-onlyIAPD 4939232

Certified Financial Planner

Feed of 09/14/2026

Also filed as B•••• E••• A••••••••

At current firm

4 y

since Mar 15, 2022

In the industry

21 y

since May 4, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H•••••• W••••• M••••••••• L•• independent RIA current
since Mar 15, 2022 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 18, 2020 to Mar 7, 2022 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
May 15, 2019 to Jul 28, 2020 · New York, Ny
S•••••••• S••••••••• BD affiliated
Apr 21, 2017 to Apr 25, 2019 · New York, Ny
E••••• J•••• national BD
Feb 14, 2017 to Apr 14, 2017 · Brooklyn, Ny
T• A••••••••• I••• former
Jul 23, 2013 to Oct 4, 2016 · New York, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 12, 2013 to Oct 4, 2016 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 11, 2012 to Jul 1, 2013 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Jan 6, 2009 to Dec 16, 2011 · Weehawken, Nj

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H•••••• W••••• M••••••••• L••
left Mar 7, 2022, registered Mar 15, 2022 (8 days) · Wirehouse to independent RIA
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 28, 2020, registered Sep 18, 2020 (52 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
S•••••••• S••••••••• to C•••••••• G••••• M•••••• I•••
left Apr 25, 2019, registered May 15, 2019 (20 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to S•••••••• S•••••••••
left Apr 14, 2017, registered Apr 21, 2017 (7 days) · Other
T• A••••••••• I••• to E••••• J••••
left Oct 4, 2016, registered Feb 14, 2017 (133 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Oct 4, 2016, registered Jul 23, 2013 (-1169 days) · channel change inside one enterprise, not a move · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Jul 1, 2013, registered Jul 12, 2013 (11 days) · Other
U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 16, 2011, registered Jan 11, 2012 (26 days) · Wirehouse to wirehouse

Signals

B•••• E••• A•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for H•••••• W••••• M••••••••• L•• (registered 2022-03-15)
Mar 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: Independent wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address