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••••••• M••• M•••••

L•• F•••••••• L••BD affiliatedFrancisco, Ca dual registrantIAPD 2645227

Feed of 09/15/2026

Also filed as Ted M•••••

At current firm

0 y

since May 12, 2026

In the industry

31 y

since Aug 11, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 May 12, 2026 · San Diego, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to May 15, 2026 · San Francisco, Ca
C••••• A••••••• L•• former
May 1, 2018 to Mar 21, 2024 · Newcastle, Wa
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to May 2, 2018 · San Francisco, Ca
W•••• F•••• I••••••••• L•• unclassified
May 15, 2001 to Jan 3, 2011 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left May 15, 2026, registered May 12, 2026 (-3 days) · Affiliated broker-dealer or bank to another
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 21, 2024, registered Mar 21, 2024 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to C••••• A••••••• L••
left May 2, 2018, registered May 1, 2018 (-1 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

Signals

T••••••• M••• M••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2026-05-12)
May 15, 2026 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address