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

T••••• F•••••• B••••••

C••••• I••••••••• A••••••• L••BD affiliatedLivermore, Ca dual registrantIAPD 1485243

Certified Financial Planner

Feed of 09/15/2026

Also filed as Tom B••••••

At current firm

3 y

since Jun 29, 2023

In the industry

26 y

since Dec 1, 1999 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Jun 29, 2023 · Livermore, Ca
L•• F•••••••• L•• BD affiliated
Nov 29, 2017 to Apr 17, 2018 · Irvine, Ca
T•••••• C••••••• I••• independent RIA
Nov 23, 2015 to May 17, 2021 · Irvine, Ca
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
May 11, 2011 to Nov 29, 2017 · Irvine, Ca
C••• B•••••••• S•••••••• I••• former
Jan 22, 2007 to Nov 4, 2010 · Huntington Beach, Ca
C••• F•••••••• S•••••••• L••• former
May 13, 2002 to Jan 24, 2007 · Santa Ana, Ca

Moves

a registration end followed by a registration begin elsewhere

T•••••• C••••••• I••• to L•• F•••••••• L••
left May 17, 2021, registered Nov 29, 2017 (-1265 days) · RIA to RIA · moved with a team
L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
left Apr 17, 2018, registered Jun 29, 2023 (1899 days) · RIA to affiliated broker-dealer or bank · moved with a team
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•••••• C••••••• I•••
left Nov 29, 2017, registered Nov 23, 2015 (-737 days) · Other · moved with a team
C••• B•••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Nov 4, 2010, registered May 11, 2011 (188 days) · Other
C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••
left Jan 24, 2007, registered Jan 22, 2007 (-2 days) · Other

Signals

No dated event on this person.

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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address