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••••••••• L•• B••••••

S••••• W••••• A•••••••• I•••no RAUMBellevue, Wadual registrantIAPD 5906066

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••••••••• L•• B••••••

At current firm

0 y

since Jan 20, 2026

In the industry

15 y

since Sep 1, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 Jan 20, 2026 · Bellevue, Wa
B••••• P••••• A•••••••• L•• independent RIA
Jun 12, 2024 to Jan 2, 2026 · Redmond, Wa
J••••• C•••••• A••••••• L•• former
May 19, 2022 to Jun 6, 2024 · Redmond, Wa
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to May 16, 2022 · Bellevue, Wa
T• A••••••••• I••••••••• M••••••••• L•• former
May 31, 2017 to May 16, 2022 · Seattle, Wa
T• A••••••••• I••• former
May 31, 2017 to May 16, 2022 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 20, 2012 to Apr 26, 2017 · Newark, Ca
W•••••• • R••• former
Sep 2, 2011 to Feb 28, 2012 · San Mateo, Ca

Moves

a registration end followed by a registration begin elsewhere

B••••• P••••• A•••••••• L•• to S••••• W••••• A•••••••• I•••
left Jan 2, 2026, registered Jan 20, 2026 (18 days) · Other
J••••• C•••••• A••••••• L•• to B••••• P••••• A•••••••• L••
left Jun 6, 2024, registered Jun 12, 2024 (6 days) · RIA to RIA · moved with a team
C•••••• S••••• • C••• I••• to J••••• C•••••• A••••••• L••
left May 16, 2022, registered May 19, 2022 (3 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left May 16, 2022, registered Jan 26, 2022 (-110 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 16, 2022, registered May 31, 2017 (-1811 days) · channel change inside one enterprise, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 26, 2017, registered May 31, 2017 (35 days) · Other
W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 28, 2012, registered Mar 20, 2012 (21 days) · Other

Signals

C••••••••• L•• B•••••• left B••••• P••••• A•••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2026-01-20)
Jan 2, 2026 · Advisor changed firm · fact
C••••••••• L•• B•••••• left J••••• C•••••• A••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2024-06-12)
Jun 6, 2024 · Advisor changed firm · fact
C••••••••• L•• B•••••• left C•••••• S••••• • C••• I••• for J••••• C•••••• A••••••• L•• (registered 2022-05-19)
May 16, 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address