DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Joseph Peter Traba

Advisor at STRATEGY ASSET MANAGERS L.L.C.

PASADENA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4cd1f6dd-0834-5126-b49a-371968f22f7d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 17, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STRATEGY ASSET MANAGERS L.L.C.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 16, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63
First exam: Jun 16, 1997
First registration: May 17, 2004
Dual registered: yes, broker-dealer
Other names: JOSEPH TRABA|JOE PETER TRABA|JOE PETER TRABA
IAPD individual key: 2749525

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STRATEGY ASSET MANAGERS L.L.C.	Independent wealth	Feb 3, 2020	n/a	yes	PASADENA, CA	Current employment
STONEMARK WEALTH MANAGEMENT	Independent wealth	Sep 21, 2011	Feb 24, 2020	no	PASADENA, CA	Previous registration
WESPAC ADVISORS, LLC	Other adviser	Mar 2, 2010	Jan 11, 2012	no	n/a	Previous registration
HILLTOP SECURITIES INC.	Bd affiliated wealth	Dec 10, 2008	Jun 22, 2009	no	Sherman Oaks, CA	Previous registration
M.L. STERN & CO., LLC.	n/a	May 17, 2004	Dec 31, 2008	no	BEVERLY HILLS, CA\|BEVERLY HILLS, CA\|BEVERLY HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STONEMARK WEALTH MANAGEMENT	STRATEGY ASSET MANAGERS L.L.C.	Feb 24, 2020	Feb 3, 2020	-21	Firm change	RIA to RIA
WESPAC ADVISORS, LLC	STONEMARK WEALTH MANAGEMENT	Jan 11, 2012	Sep 21, 2011	-112	Firm change after gap	Other
HILLTOP SECURITIES INC.	WESPAC ADVISORS, LLC	Jun 22, 2009	Mar 2, 2010	253	Firm change	Other
M.L. STERN & CO., LLC.	HILLTOP SECURITIES INC.	Dec 31, 2008	Dec 10, 2008	-21	Bulk transfer	Other

Relationships

Registered with (5)

→ STRATEGY ASSET MANAGERS L.L.C.Registered adviserregistration: current employment
Feb 3, 2020 to presentfactForm ADV
→ STONEMARK WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 21, 2011 to Feb 24, 2020factForm ADV
→ WESPAC ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 2, 2010 to Jan 11, 2012factForm ADV
→ HILLTOP SECURITIES INC.Registered adviserregistration: previous registration
Dec 10, 2008 to Jun 22, 2009factForm ADV
→ M.L. STERN & CO., LLC.Registered adviserregistration: previous registration
May 17, 2004 to Dec 31, 2008factForm ADV

Dated events

No dated event names this entity yet.