A••••• S•••••

Advisor at T•• A•••••••• G••••

Westlake Village, 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:e82d2a5a-3a8f-8f47-826e-f8f3ef46f3d1

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 7, 2007 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: T•• A•••••••• G••••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Oct 5, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
T•• A•••••••• G••••	Bd affiliated wealth	Mar 16, 2020	n/a	yes	Westlake Village, CA	Current employment
S•••••••• F••••••••• I•••	Former SEC adviser	Mar 10, 2016	Dec 17, 2020	no	WESTLAKE VILLAGE, CA\|THOUSAND OAKS, CA\|SANTA BARBARA, CA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
S•••••••• F••••••••• I•••	T•• A•••••••• G••••	Dec 17, 2020	Mar 16, 2020	-276	Firm change after gap	Other
W•••••• S••••••••• I•••	S•••••••• F••••••••• I•••	Mar 10, 2016	Mar 10, 2016

Team moves

••• Locked

Team	Left	Joined	From	Kind
133763:305585:CA:2020-12-17	Dec 17, 2020	Mar 16, 2020	SANTA BARBARA, CA	Firm change after gap

Relationships

Registered with (5)

→ T•• A•••••••• G••••Registered adviserregistration: current employment
Mar 16, 2020 to presentfactForm ADV
→ S•••••••• F••••••••• I•••Registered adviserregistration: previous registration
Mar 10, 2016 to Dec 17, 2020factForm ADV
→ W•••••• S••••••••• I•••Registered adviserregistration: previous registration
Feb 5, 2009 to Mar 10, 2016factForm ADV
→ R•••••• J•••• F•••••••• S•••••••• I•••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e82d2a5a-3a8f-8f47-826e-f8f3ef46f3d1
First observed: May 7, 2007
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.