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

M••••• T• W•••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseSanta Barbara, Cadual registrantIAPD 3272208

Feed of 09/14/2026

Also filed as M••••• Mary Timpe

At current firm

1 y

since May 1, 2025

In the industry

26 y

since Dec 29, 1999 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since May 1, 2025 · Santa Barbara, Ca
S•••••• N••••••• • C••••••• I••••••••• national BD
Jun 29, 2020 to May 7, 2025 · Santa Barbara, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Jun 30, 2020 · Newport Beach, Ca
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jun 1, 2009 · Newport Beach, Ca
M••••• S•••••• D• I••• unclassified
Jul 12, 2001 to Apr 2, 2007 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 7, 2025, registered May 1, 2025 (-6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••
left Jun 30, 2020, registered Jun 29, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

M••••• T• W••••••• left S•••••• N••••••• • C••••••• I••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-05-01)
May 7, 2025 · 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: Wirehousederived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address