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

E•••••••• A••• B••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedLake Oswego, OrIA-onlyIAPD 5631503

Certified Financial Planner

Feed of 09/14/2026

Also filed as E•••••••• B••••

At current firm

1 y

since Jan 2, 2025

In the industry

17 y

since Apr 9, 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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jan 2, 2025 · Lake Oswego, Or
W••••••••• F•••••••• A•••••••• L•• independent RIA
Oct 21, 2022 to Dec 31, 2024 · Portland, Or
I••••••• F•••••••• S••••••••• L•• former
Aug 12, 2011 to Aug 31, 2012 · San Francisco, Ca
W•••••• • R••• former
Apr 30, 2009 to Jul 23, 2011 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

W••••••••• F•••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 31, 2024, registered Jan 2, 2025 (2 days) · RIA to affiliated broker-dealer or bank
I••••••• F•••••••• S••••••••• L•• to W••••••••• F•••••••• A•••••••• L••
left Aug 31, 2012, registered Oct 21, 2022 (3703 days) · Other
W•••••• • R••• to I••••••• F•••••••• S••••••••• L••
left Jul 23, 2011, registered Aug 12, 2011 (20 days) · Other

Signals

E•••••••• A••• B•••• left W••••••••• F•••••••• A•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-01-02)
Dec 31, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address