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•••••••• M•••• D•••••••••

C••••••••• C••••••••• A••••••• S••••••••independent RIASeattle, Wa IA-onlyIAPD 5152745

Certified Financial Planner

Feed of 09/15/2026

Also filed as S•••••••• M•••• West

At current firm

0 y

since Feb 26, 2026

In the industry

17 y

since Jul 16, 2009 (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••••••••• C••••••••• A••••••• S•••••••• independent RIA current
since Feb 26, 2026 · Seattle, Wa
T•• C•••••• G••••• L•• former
Nov 8, 2024 to Feb 18, 2026 · Seattle, Wa
F•••••••• C•••••• M••••••••• L•• independent RIA
Aug 11, 2017 to Jul 1, 2024 · Seattle, Wa
W••••••••• A••••••• former
Jun 19, 2013 to Jul 28, 2017 · Milwaukee, Wi
B•••• T•••• I••••••••• A••••••• former
Apr 12, 2012 to Jul 8, 2013 · Madison, Wi
R••••• W• B•••• • C•• I••••••••• mixed wealth
Jul 17, 2009 to Apr 18, 2012 · Milwaukee, Wi

Moves

a registration end followed by a registration begin elsewhere

T•• C•••••• G••••• L•• to C••••••••• C••••••••• A••••••• S••••••••
left Feb 18, 2026, registered Feb 26, 2026 (8 days) · RIA to RIA · moved with a team
F•••••••• C•••••• M••••••••• L•• to T•• C•••••• G••••• L••
left Jul 1, 2024, registered Nov 8, 2024 (130 days) · RIA to RIA
W••••••••• A••••••• to F•••••••• C•••••• M••••••••• L••
left Jul 28, 2017, registered Aug 11, 2017 (14 days) · Other
B•••• T•••• I••••••••• A••••••• to W••••••••• A•••••••
left Jul 8, 2013, registered Jun 19, 2013 (-19 days) · Other
R••••• W• B•••• • C•• I••••••••• to B•••• T•••• I••••••••• A•••••••
left Apr 18, 2012, registered Apr 12, 2012 (-6 days) · Other

Signals

S•••••••• M•••• D••••••••• left T•• C•••••• G••••• L•• for C••••••••• C••••••••• A••••••• S•••••••• (registered 2026-02-26)
Feb 18, 2026 · Advisor changed firm · fact
S•••••••• M•••• D••••••••• left F•••••••• C•••••• M••••••••• L•• for T•• C•••••• G••••• L•• (registered 2024-11-08)
Jul 1, 2024 · 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address