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

B•••••• T•••• T•••

L•• F•••••••• L••BD affiliatedLa Habra, Ca dual registrantIAPD 3241000

Certified Financial Planner

Feed of 09/15/2026

Also filed as B•••••• H T•••

At current firm

3 y

since Jul 19, 2023

In the industry

27 y

since Aug 11, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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 Jul 19, 2023 · Irvine, Ca
B••••••• I••••••••• S•••••••• I••• ••••• former
Apr 27, 2022 to Jul 19, 2023 · La Habra, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Apr 28, 2022 · El Segundo, Ca
W•••• F•••• I••••••••• L•• unclassified
Jun 23, 2008 to Jan 3, 2011 · Garden Grove, Ca

Moves

a registration end followed by a registration begin elsewhere

B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••
left Jul 19, 2023, registered Jul 19, 2023 (0 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••
left Apr 28, 2022, registered Apr 27, 2022 (-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) · Other

Signals

B•••••• T•••• T••• no longer holds an investment adviser registration (last listed at L•• F•••••••• L•• on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
B•••••• T•••• T••• left W•••• F•••• A••••••• for B••••••• I••••••••• S•••••••• I••• ••••• (registered 2022-04-27)
Apr 28, 2022 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address