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•••••••

S••••• W••••• A•••••••• I•••no RAUMBellevue, Wadual registrantIAPD 5259021

Certified Financial Planner

Feed of 09/14/2026

Also filed as A•••• B P•••••••

At current firm

0 y

since May 11, 2026

In the industry

18 y

since Mar 14, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• W••••• A•••••••• I••• no RAUM current
since May 11, 2026 · Bellevue, Wa
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to May 7, 2026 · Bothell, Wa
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 4, 2022 to Mar 31, 2025 · Bellevue, Wa
E•••••• C•••••• M••••••••• L•• former
Aug 28, 2019 to May 26, 2022 · Seattle, Wa
F••••• I••••••••• independent RIA
Dec 4, 2018 to May 21, 2019 · Plano, Tx
U••• B•••••• I••••••••• I••• former
Nov 28, 2017 to Nov 14, 2018 · Rolling Hills Estates, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 10, 2015 to Dec 5, 2017 · Redondo Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to S••••• W••••• A•••••••• I•••
left May 7, 2026, registered May 11, 2026 (4 days) · Other · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 26, 2022, registered Jul 4, 2022 (39 days) · RIA to affiliated broker-dealer or bank
F••••• I••••••••• to E•••••• C•••••• M••••••••• L••
left May 21, 2019, registered Aug 28, 2019 (99 days) · RIA to RIA
U••• B•••••• I••••••••• I••• to F••••• I•••••••••
left Nov 14, 2018, registered Dec 4, 2018 (20 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••
left Dec 5, 2017, registered Nov 28, 2017 (-7 days) · Other

Signals

A•••• P••••••• left S•••••••• A••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2026-05-11)
May 7, 2026 · Advisor changed firm · fact
A•••• P••••••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-07-04)
May 26, 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: No RAUM reportedderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address