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

G•••••• T••• P•••••

T••••••••• P•••••••• L••independent RIAScottsdale, Az dual registrantIAPD 4302842

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/15/2026

At current firm

1 y

since Feb 7, 2025

In the industry

25 y

since Aug 14, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••••••• P•••••••• L•• independent RIA current
since Feb 7, 2025 · San Diego, Ca
T••••••••• W•••••• L•• independent RIA
Oct 18, 2023 to Aug 12, 2025 · Chevy Chase, Md
U••••• C•••••• F•••••••• A••••••• independent RIA
Aug 24, 2010 to Nov 3, 2023 · San Diego, Ca
M•• I•••••••• S•••••••• L•• BD affiliated
Mar 3, 2006 to Aug 20, 2010 · La Jolla, Ca

Moves

a registration end followed by a registration begin elsewhere

T••••••••• W•••••• L•• to T••••••••• P•••••••• L••
left Aug 12, 2025, registered Feb 7, 2025 (-186 days) · RIA to a newly registered adviser
U••••• C•••••• F•••••••• A••••••• to T••••••••• W•••••• L••
left Nov 3, 2023, registered Oct 18, 2023 (-16 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
M•• I•••••••• S•••••••• L•• to U••••• C•••••• F•••••••• A•••••••
left Aug 20, 2010, registered Aug 24, 2010 (4 days) · Other

Signals

G•••••• T••• P••••• left T••••••••• W•••••• L•• for T••••••••• P•••••••• L•• (registered 2025-02-07)
Aug 12, 2025 · Advisor changed firm · fact
G•••••• T••• P••••• left U••••• C•••••• F•••••••• A••••••• for T••••••••• W•••••• L•• (registered 2023-10-18)
Nov 3, 2023 · 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: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address