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

S••• J•••• H•••••

E•••••• A••••••• G••••• L••BD affiliatedSeattle, Wa dual registrantIAPD 6472460

Feed of 09/15/2026

Also filed as Sean Howard

At current firm

0 y

since Jan 16, 2026

In the industry

10 y

since Nov 9, 2015 (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

E•••••• A••••••• G••••• L•• BD affiliated current
since Jan 16, 2026 · Greenwood Village, Co
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to May 29, 2025 · Bellevue, Wa
F••••••• P••••••• A•• W•••••••• A••••••• former
Sep 18, 2024 to Mar 31, 2025 · Bellevue, Wa
R•• C•••••• M••••••• L•• national BD
Sep 2, 2016 to Nov 29, 2022 · Seattle, Wa
H•••••• T••••••• • K•••• L•• independent RIA
Dec 10, 2015 to Jun 29, 2016 · Bellevue, Wa

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to E•••••• A••••••• G••••• L••
left May 29, 2025, registered Jan 16, 2026 (232 days) · Affiliated broker-dealer or bank to another · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
R•• C•••••• M••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Nov 29, 2022, registered Sep 18, 2024 (659 days) · Affiliated broker-dealer or bank to another
H•••••• T••••••• • K•••• L•• to R•• C•••••• M••••••• L••
left Jun 29, 2016, registered Sep 2, 2016 (65 days) · Other

Signals

S••• J•••• H••••• left S•••••••• A••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2026-01-16)
May 29, 2025 · Advisor changed firm · fact
S••• J•••• H••••• left R•• C•••••• M••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-09-18)
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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address