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

A••••• T••••• L••

L•• F•••••••• L••BD affiliatedOak Harbor, Wa dual registrantIAPD 7232783

Certified Financial Planner

Feed of 09/15/2026

Also filed as A••••• T Lee

At current firm

1 y

since Jan 3, 2025

In the industry

21 y

since Oct 1, 2004 (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 Jan 3, 2025 · Mt. Vernon, Wa
K••••• A••••••• S•••••••• L•• BD affiliated
Jan 8, 2024 to Oct 29, 2024 · Anacortes, Wa
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Dec 18, 2023 · Tukwila, Wa
C••••• A•••••• N••••••• L•• former
May 25, 2022 to Jun 29, 2023 · Renton, Wa
L•• F•••••••• L•• BD affiliated
May 18, 2022 to Jun 22, 2022 · Renton, Wa
C••• B•••••••• S•••••••• I••• former
Apr 19, 2021 to May 18, 2022 · Renton, Wa

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
left Oct 29, 2024, registered Jan 3, 2025 (66 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to K••••• A••••••• S•••••••• L••
left Dec 18, 2023, registered Jan 8, 2024 (21 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to C••••• A•••••• N••••••• L••
left Jun 22, 2022, registered May 25, 2022 (-28 days) · RIA to affiliated broker-dealer or bank
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move

Signals

A••••• T••••• L•• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2025-01-03)
Oct 29, 2024 · a•••••• firm change · fact
A••••• T••••• L•• left C••••• I••••••••• A••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2024-01-08)
Dec 18, 2023 · a•••••• firm change · fact
A••••• T••••• L•• left L•• F•••••••• L•• for C••••• A•••••• N••••••• L•• (registered 2022-05-25)
Jun 22, 2022 · a•••••• firm change · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address