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•••• G••••••••

J••• M••••• S••••••••• L••wirehouseEncino, Cadual registrantIAPD 4804097

Feed of 09/14/2026

Also filed as T•••• G••••••••

At current firm

2 y

since Jun 5, 2024

In the industry

27 y

since Dec 1, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

J••• M••••• S••••••••• L•• wirehouse current
since Jun 5, 2024 · Encino, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jan 29, 2020 to Apr 18, 2024 · Fresno, Ca
W•••• F•••• A••••••• wirehouse
Nov 28, 2017 to Jan 30, 2020 · Encino, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Nov 21, 2017 · Westlake Village, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
May 5, 2008 to Oct 23, 2009 · Sherman Oaks, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••
left Apr 18, 2024, registered Jun 5, 2024 (48 days) · Affiliated broker-dealer or bank to wirehouse
W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••
left Jan 30, 2020, registered Jan 29, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Nov 21, 2017, registered Nov 28, 2017 (7 days) · Wirehouse to wirehouse · moved with a team
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move

Signals

T•••• G•••••••• left C•••••••• G••••• M•••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-06-05)
Apr 18, 2024 · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address