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•••••• O••• M••••

W•••• F•••• A•••••••wirehouseSan Jose, Cadual registrantIAPD 4164648

Feed of 09/14/2026

Also filed as T•••••• O M••••

At current firm

0 y

since Apr 29, 2026

In the industry

26 y

since Jun 22, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Apr 29, 2026 · San Jose, Ca
J••• M••••• S••••••••• L•• wirehouse
Dec 19, 2018 to Apr 5, 2026 · Sunnyvale, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 8, 2016 to Aug 25, 2017 · Santa Clara, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
May 14, 2008 to Sep 23, 2008 · Cupertino, Ca
T• A••••••••• I••• former
May 14, 2008 to Sep 23, 2008 · Cupertino, Ca
F••••• I••••••••• independent RIA
Jan 30, 2008 to Apr 24, 2008 · San Mateo, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 24, 2006 to Jan 9, 2008 · San Mateo, Ca
T• A••••••••• I••• former
Jul 7, 2004 to Jan 9, 2008 · San Mateo, Ca
C•••••• S••••• • C••• I••• national BD
Oct 28, 2003 to May 18, 2004 · San Jose, Ca

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Apr 5, 2026, registered Apr 29, 2026 (24 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Aug 25, 2017, registered Dec 19, 2018 (481 days) · Wirehouse to wirehouse · moved with a team
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Sep 23, 2008, registered May 14, 2008 (-132 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Sep 23, 2008, registered May 14, 2008 (-132 days) · channel change inside one enterprise, not a move
F••••• I••••••••• to T• A••••••••• I•••
left Apr 24, 2008, registered May 14, 2008 (20 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to F••••• I•••••••••
left Jan 9, 2008, registered Jan 30, 2008 (21 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jan 9, 2008, registered Apr 24, 2006 (-625 days) · channel change inside one enterprise, not a move
C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left May 18, 2004, registered Jul 7, 2004 (50 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

T•••••• O••• M•••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2026-04-29)
Apr 5, 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: Wirehousederived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address