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

R••••• D••• M•••••••

T••••• A••••••• S•••••••• I•••BD affiliatedSan Francisco, Cadual registrantIAPD 4801638

Feed of 09/14/2026

Also filed as R••••• D••• M•••••••

At current firm

3 y

since Jan 17, 2023

In the industry

22 y

since Jul 28, 2004 (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••••• A••••••• S•••••••• I••• BD affiliated current
since Jan 17, 2023 · San Francisco, Ca
R•• S••••••••• I••• BD affiliated
Jul 10, 2012 to Jan 18, 2023 · Los Angeles, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 22, 2011 to Jul 16, 2012 · San Carlos, Ca
S•••••••• A••••••• L•• national BD
Dec 16, 2010 to Aug 15, 2011 · Sunnyvale, Ca
E••••• J•••• national BD
Dec 1, 2006 to Nov 19, 2010 · San Carlos, Ca
A• G• E•••••• • S•••• I••• unclassified
Jul 29, 2004 to Nov 22, 2006 · San Jose, Ca

Moves

a registration end followed by a registration begin elsewhere

R•• S••••••••• I••• to T••••• A••••••• S•••••••• I•••
left Jan 18, 2023, registered Jan 17, 2023 (-1 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• S••••••••• I•••
left Jul 16, 2012, registered Jul 10, 2012 (-6 days) · Other
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 15, 2011, registered Sep 22, 2011 (38 days) · Affiliated broker-dealer or bank to wirehouse
E••••• J•••• to S•••••••• A••••••• L••
left Nov 19, 2010, registered Dec 16, 2010 (27 days) · Affiliated broker-dealer or bank to another
A• G• E•••••• • S•••• I••• to E••••• J••••
left Nov 22, 2006, registered Dec 1, 2006 (9 days) · Other

Signals

R••••• D••• M••••••• left R•• S••••••••• I••• for T••••• A••••••• S•••••••• I••• (registered 2023-01-17)
Jan 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address