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

A••• P•••••• M•••••

L•• F•••••••• L••BD affiliatedBattle Ground, Wa dual registrantIAPD 5002580

Feed of 09/14/2026

Also filed as A••• P•••••• M•••••

At current firm

1 y

since May 15, 2025

In the industry

20 y

since Sep 28, 2005 (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•• F•••••••• L•• BD affiliated current
since May 15, 2025 · Vancouver, Wa
C••• F•••••••• S•••••••• L••• former
Jul 6, 2021 to May 15, 2025 · Vancouver, Wa
S••••••••• A•••••• A•••••••• I••• former
Nov 6, 2020 to Jul 15, 2021 · Camas, Wa
K•• F•••••••• S•••••••• I•• former
Mar 16, 2018 to Nov 6, 2020 · Milwaukie, Or
C••••• A••••••• L•• former
Sep 26, 2017 to Oct 30, 2017 · Molalla, Or
M••••• S•••••• wirehouse
May 20, 2016 to Jan 6, 2017 · Portland, Or
F••••• I••••••••• independent RIA
Jul 7, 2014 to Jan 14, 2016 · Plano, Tx
V•••• F•••••••• A•••••••• I••• BD affiliated
Apr 20, 2012 to Jul 18, 2013 · Lakewood, Co
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 28, 2005 to Dec 19, 2005 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
S••••••••• A•••••• A•••••••• I••• to C••• F•••••••• S•••••••• L•••
left Jul 15, 2021, registered Jul 6, 2021 (-9 days) · Affiliated broker-dealer or bank to another
K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••
left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
C••••• A••••••• L•• to K•• F•••••••• S•••••••• I••
left Oct 30, 2017, registered Mar 16, 2018 (137 days) · Other
M••••• S•••••• to C••••• A••••••• L••
left Jan 6, 2017, registered Sep 26, 2017 (263 days) · Other
F••••• I••••••••• to M••••• S••••••
left Jan 14, 2016, registered May 20, 2016 (127 days) · Other
V•••• F•••••••• A•••••••• I••• to F••••• I•••••••••
left Jul 18, 2013, registered Jul 7, 2014 (354 days) · Other
A••••••••• F•••••••• S•••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Dec 19, 2005, registered Apr 20, 2012 (2314 days) · Other

Signals

No dated event on this person.

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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address