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

T•••• R• P••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedKennewick, Wadual registrantIAPD 5037418

Certified Financial Planner

Feed of 09/14/2026

At current firm

1 y

since Sep 15, 2025

In the industry

20 y

since Nov 15, 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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Sep 15, 2025 · Kennewick, Wa
C••••••••• F•••••••• N•••••• national BD
Aug 31, 2021 to Sep 15, 2025 · Kennewick, Wa
L•• F•••••••• L•• BD affiliated
Oct 1, 2020 to Sep 20, 2021 · Kennewick, Wa
E• R•••• I••••••••• L•• former
Apr 13, 2015 to Nov 6, 2020 · Kennewick, Wa
C••••• A••••••• L•• former
Jan 20, 2015 to Mar 26, 2015 · San Diego, Ca
F••••• I••••••••• independent RIA
Mar 5, 2013 to Jan 16, 2015 · Camas, Wa
D••• D••••••• • C•• independent RIA
Aug 14, 2007 to Jan 14, 2013 · Portland, Or
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 19, 2007 to Aug 9, 2007 · Beaverton, Or
D••• D••••••• • C•• independent RIA
Nov 16, 2005 to Apr 3, 2007 · Kennewick, Wa

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Sep 15, 2025, registered Sep 15, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
left Sep 20, 2021, registered Aug 31, 2021 (-20 days) · Affiliated broker-dealer or bank to another
E• R•••• I••••••••• L•• to L•• F•••••••• L••
left Nov 6, 2020, registered Oct 1, 2020 (-36 days) · corporate re-registration, not a move
C••••• A••••••• L•• to E• R•••• I••••••••• L••
left Mar 26, 2015, registered Apr 13, 2015 (18 days) · Other
F••••• I••••••••• to C••••• A••••••• L••
left Jan 16, 2015, registered Jan 20, 2015 (4 days) · Other
D••• D••••••• • C•• to F••••• I•••••••••
left Jan 14, 2013, registered Mar 5, 2013 (50 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••• D••••••• • C••
left Aug 9, 2007, registered Aug 14, 2007 (5 days) · Other
D••• D••••••• • C•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 3, 2007, registered Jul 19, 2007 (107 days) · Other

Signals

T•••• R• P•••• left C••••••••• F•••••••• N•••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-09-15)
Sep 15, 2025 · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address