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

T•••• R•• S••••

L•• F•••••••• L••BD affiliatedKennewick, Wadual registrantIAPD 6271744

Certified Financial Planner

Feed of 09/14/2026

At current firm

2 y

since Jun 14, 2024

In the industry

12 y

since Mar 22, 2014 (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 Jun 14, 2024 · Kennewick, Wa
C••••••••• W••••• S••••••••• I••• former
Feb 16, 2022 to Jul 12, 2024 · Kennewick, Wa
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Feb 22, 2022 · Boston, Ma
S•••••••• A••••••• L•• national BD
Jan 10, 2017 to Jul 13, 2018 · S••••Sdale, Az
P••••••••• I••••••••• M••••••••• S•••••••• P••• former
Oct 16, 2015 to Nov 23, 2016 · Kennewick, Wa
W•••••• • R••• former
Mar 24, 2014 to Aug 24, 2015 · Kennewick, Wa

Moves

a registration end followed by a registration begin elsewhere

C••••••••• W••••• S••••••••• I••• to L•• F•••••••• L••
left Jul 12, 2024, registered Jun 14, 2024 (-28 days) · RIA to affiliated broker-dealer or bank · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to C••••••••• W••••• S••••••••• I•••
left Feb 22, 2022, registered Feb 16, 2022 (-6 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
P••••••••• I••••••••• M••••••••• S•••••••• P••• to S•••••••• A••••••• L••
left Nov 23, 2016, registered Jan 10, 2017 (48 days) · Other
W•••••• • R••• to P••••••••• I••••••••• M••••••••• S•••••••• P•••
left Aug 24, 2015, registered Oct 16, 2015 (53 days) · Other

Signals

T•••• R•• S•••• left C••••••••• W••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2024-06-14)
Jul 12, 2024 · Advisor changed firm · fact
T•••• R•• S•••• left F••••••• P••••••• A•• W•••••••• A••••••• for C••••••••• W••••• S••••••••• I••• (registered 2022-02-16)
Feb 22, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address