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

F••••••• M•••• H••

N•••• C•••••• G••••• L••state registeredKirkland, WaIA-onlyIAPD 5052968

Certified Financial Planner

Feed of 09/14/2026

At current firm

4 y

since Sep 29, 2021

In the industry

20 y

since Mar 30, 2006 (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

N•••• C•••••• G••••• L•• state registered current
since Sep 29, 2021 · Kirkland, Wa
T••••••••• A•••••••• L•• independent RIA
Jul 25, 2016 to Feb 1, 2022 · Monrovia, Ca
S•••••••• A••••••• L•• national BD
Nov 21, 2011 to May 21, 2014 · Pasadena, Ca
C•••••• S••••• • C••• I••• national BD
Jun 19, 2006 to Oct 10, 2011 · Arcadia, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 31, 2006 to Apr 13, 2006 · Glendale, Ca

Moves

a registration end followed by a registration begin elsewhere

T••••••••• A•••••••• L•• to N•••• C•••••• G••••• L••
left Feb 1, 2022, registered Sep 29, 2021 (-125 days) · RIA to a state-registered adviser
S•••••••• A••••••• L•• to T••••••••• A•••••••• L••
left May 21, 2014, registered Jul 25, 2016 (796 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••
left Oct 10, 2011, registered Nov 21, 2011 (42 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••
left Apr 13, 2006, registered Jun 19, 2006 (67 days) · Affiliated broker-dealer or bank to another

Signals

F••••••• M•••• H•• left T••••••••• A•••••••• L•• for N•••• C•••••• G••••• L•• (registered 2021-09-29)
Feb 1, 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: STATE REGISTEREDderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address