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•••• R••• W••••••

H••••••• C•••••• A•••••••• L••no RAUMIssaquah, WaIA-onlyIAPD 5926821

Feed of 09/14/2026

Also filed as C•••• R••• W••••••

At current firm

2 y

since Jan 12, 2024

In the industry

15 y

since Sep 15, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

H••••••• C•••••• A•••••••• L•• no RAUM current
since Jan 12, 2024 · Issaquah, Wa
P•• C•••••• A••••••• L•• other
Jan 7, 2022 to Jan 2, 2024 · Bellevue, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 9, 2020 to Oct 7, 2021 · Leawood, Ks
C•••••• C•••••• M••••••••• former
Apr 1, 2013 to Aug 15, 2015 · Bellevue, Wa
K•• F•••••••• S•••••••• I•• former
Jun 28, 2012 to Mar 13, 2013 · Tacoma, Wa
M••••• S•••••• wirehouse
Sep 16, 2011 to May 7, 2012 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

P•• C•••••• A••••••• L•• to H••••••• C•••••• A•••••••• L••
left Jan 2, 2024, registered Jan 12, 2024 (10 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• C•••••• A••••••• L••
left Oct 7, 2021, registered Jan 7, 2022 (92 days) · Other
C•••••• C•••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 15, 2015, registered Jan 9, 2020 (1608 days) · Other
K•• F•••••••• S•••••••• I•• to C•••••• C•••••• M•••••••••
left Mar 13, 2013, registered Apr 1, 2013 (19 days) · Other
M••••• S•••••• to K•• F•••••••• S•••••••• I••
left May 7, 2012, registered Jun 28, 2012 (52 days) · Other

Signals

C•••• R••• W•••••• left P•• C•••••• A••••••• L•• for H••••••• C•••••• A•••••••• L•• (registered 2024-01-12)
Jan 2, 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: No RAUM reportedderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address