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••• E••• L•••••••

I••••••••• P•••••• W••••• A••••••• L••independent RIASan Diego, CaIA-onlyIAPD 4630375

Feed of 09/14/2026

At current firm

3 y

since Aug 10, 2023

In the industry

23 y

since Aug 5, 2003 (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

I••••••••• P•••••• W••••• A••••••• L•• independent RIA current
since Aug 10, 2023 · San Diego, Ca
A•••••• W••••• M••••••••• L•• independent RIA
Jul 14, 2023 to Aug 21, 2023 · Anaheim, Ca
L••••• P••• L•• independent RIA
Jul 25, 2016 to Aug 15, 2023 · Newport, Ca
L••••• P•••••• C••••• G••••• I••• former
Sep 27, 2012 to Dec 31, 2016 · Kamas, Ut
S••••• W••••• M••••••••• independent RIA
Sep 2, 2008 to Apr 26, 2012 · Laguna Beach, Ca
U•• F•••••••• S••••••• I••• wirehouse
Jun 23, 2004 to Sep 16, 2008 · Newport Beach, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Aug 6, 2003 to Jun 29, 2004 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

A•••••• W••••• M••••••••• L•• to I••••••••• P•••••• W••••• A••••••• L••
left Aug 21, 2023, registered Aug 10, 2023 (-11 days) · RIA to RIA
L••••• P••• L•• to A•••••• W••••• M••••••••• L••
left Aug 15, 2023, registered Jul 14, 2023 (-32 days) · RIA to RIA
L••••• P•••••• C••••• G••••• I••• to L••••• P••• L••
left Dec 31, 2016, registered Jul 25, 2016 (-159 days) · Other · moved with a team
S••••• W••••• M••••••••• to L••••• P•••••• C••••• G••••• I•••
left Apr 26, 2012, registered Sep 27, 2012 (154 days) · Other
U•• F•••••••• S••••••• I••• to S••••• W••••• M•••••••••
left Sep 16, 2008, registered Sep 2, 2008 (-14 days) · Other
A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••
left Jun 29, 2004, registered Jun 23, 2004 (-6 days) · Affiliated broker-dealer or bank to wirehouse

Signals

T••• E••• L••••••• left A•••••• W••••• M••••••••• L•• for I••••••••• P•••••• W••••• A••••••• L•• (registered 2023-08-10)
Aug 21, 2023 · Advisor changed firm · fact
T••• E••• L••••••• left L••••• P••• L•• for A•••••• W••••• M••••••••• L•• (registered 2023-07-14)
Aug 15, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address