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

C•••• B••••• A•••

L•• F•••••••• L••BD affiliatedVancouver, Wadual registrantIAPD 5487135

Feed of 09/14/2026

Also filed as C•••• B••••• A•••

At current firm

3 y

since Nov 29, 2022

In the industry

18 y

since Apr 10, 2008 (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

L•• F•••••••• L•• BD affiliated current
since Nov 29, 2022 · Vancouver, Wa
S••••••••• A•••••• A•••••••• I••• former
Dec 19, 2017 to Nov 29, 2022 · Vancouver, Wa
D••• D••••••• • C•• independent RIA
Mar 15, 2017 to Sep 7, 2017 · Vancouver, Wa
B••• W••••• A•••••••• I••• independent RIA
Oct 16, 2013 to Mar 14, 2016 · Vancouver, Wa
L•• F•••••••• L•• BD affiliated
Nov 16, 2009 to Mar 22, 2017 · Vancouver, Wa
E••••• J•••• national BD
Apr 23, 2008 to Sep 10, 2008 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••
left Nov 29, 2022, registered Nov 29, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
D••• D••••••• • C•• to S••••••••• A•••••• A•••••••• I•••
left Sep 7, 2017, registered Dec 19, 2017 (103 days) · Other
L•• F•••••••• L•• to B••• W••••• A•••••••• I•••
left Mar 22, 2017, registered Oct 16, 2013 (-1253 days) · Other
B••• W••••• A•••••••• I••• to D••• D••••••• • C••
left Mar 14, 2016, registered Mar 15, 2017 (366 days) · Other
E••••• J•••• to L•• F•••••••• L••
left Sep 10, 2008, registered Nov 16, 2009 (432 days) · Other

Signals

C•••• B••••• A••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2022-11-29)
Nov 29, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address