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.

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Registered advisor

T••••• H••••• S••••

B••••• P••••• A•••••••• L••independent RIANewport Beach, Ca IA-onlyIAPD 1370872

Feed of 09/14/2026

Also filed as Hal S••••

At current firm

1 y

since Oct 21, 2024

In the industry

41 y

since Jun 19, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B••••• P••••• A•••••••• L•• independent RIA current
since Oct 21, 2024 · Pasadena, Ca
B••••• A••••••• L•• former
Oct 15, 2020 to Oct 31, 2024 · Pasadena, Ca
O•••••• C•••••• M••••••••• L•• former
Mar 13, 2015 to Oct 7, 2020 · Los Angeles, Ca
S•••••••• A••••••• L•• national BD
Mar 23, 2006 to Sep 17, 2013 · Los Angeles, Ca
C•••••• S••••• • C••• I••• national BD
Jul 8, 1997 to Feb 1, 2005 · Ca

Moves

a registration end followed by a registration begin elsewhere

B••••• A••••••• L•• to B••••• P••••• A•••••••• L••
left Oct 31, 2024, registered Oct 21, 2024 (-10 days) · RIA to RIA · moved with a team
O•••••• C•••••• M••••••••• L•• to B••••• A••••••• L••
left Oct 7, 2020, registered Oct 15, 2020 (8 days) · RIA to RIA
S•••••••• A••••••• L•• to O•••••• C•••••• M••••••••• L••
left Sep 17, 2013, registered Mar 13, 2015 (542 days) · Other
C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••
left Feb 1, 2005, registered Mar 23, 2006 (415 days) · Affiliated broker-dealer or bank to another

Signals

T••••• H••••• S•••• left B••••• A••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2024-10-21)
Oct 31, 2024 · 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: Independent wealth managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address