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

S••••• F•••••••• F••••••••

A••••• A•• P••••••• S•••••••BD affiliatedTacoma, Wa dual registrantIAPD 5109010

Feed of 09/14/2026

Also filed as S••••• F•••••••• F••••••••

At current firm

4 y

since Jun 29, 2022

In the industry

20 y

since May 18, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

A••••• A•• P••••••• S••••••• BD affiliated current
since Jun 29, 2022 · Tacoma, Wa
K•• I••••••••• S••••••• L•• BD affiliated
Jan 3, 2022 to May 31, 2022 · Brooklyn, Oh
E•••••• C•••••• M••••••••• L•• former
Jun 21, 2018 to Jun 3, 2019 · Seattle, Wa
S•••••••• I••••••••• M••••••••• former
May 18, 2016 to Mar 7, 2018 · Westminster, Co
U••• F•••••••• P••••••• S••••••• former
Dec 9, 2008 to Apr 25, 2014 · Phoenix, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Nov 8, 2007 to Dec 31, 2008 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

K•• I••••••••• S••••••• L•• to A••••• A•• P••••••• S•••••••
left May 31, 2022, registered Jun 29, 2022 (29 days) · Affiliated broker-dealer or bank to another
E•••••• C•••••• M••••••••• L•• to K•• I••••••••• S••••••• L••
left Jun 3, 2019, registered Jan 3, 2022 (945 days) · RIA to affiliated broker-dealer or bank
S•••••••• I••••••••• M••••••••• to E•••••• C•••••• M••••••••• L••
left Mar 7, 2018, registered Jun 21, 2018 (106 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
U••• F•••••••• P••••••• S••••••• to S•••••••• I••••••••• M•••••••••
left Apr 25, 2014, registered May 18, 2016 (754 days) · Other
U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••
left Dec 31, 2008, registered Dec 9, 2008 (-22 days) · corporate re-registration, not a move

Signals

S••••• F•••••••• F•••••••• left K•• I••••••••• S••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2022-06-29)
May 31, 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: 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