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

B•••• R•••• A•••••••

T•• A•••••••• G••••BD affiliatedSanta Barbara, Cadual registrantIAPD 4823

Chartered Financial Consultant

Feed of 09/14/2026

At current firm

3 y

since Feb 21, 2023

In the industry

45 y

since Nov 1, 1980 (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•••••••• G•••• BD affiliated current
since Feb 21, 2023 · Santa Barbara, Ca
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Mar 1, 2024 · Santa Barbara, Ca
S•••••••• F••••••••• I••• former
Nov 2, 2018 to Sep 1, 2023 · Santa Barbara, Ca
C••••• A•••••• N••••••• L•• former
Jan 2, 2008 to Nov 19, 2018 · Santa Barbara, Ca
A••••••••• S••••••••• C•••• unclassified
Apr 7, 2003 to Dec 19, 2007 · Santa Barbara, Ca
A••••••••• P••••••• I••••••••• A••••••• I•• unclassified
Sep 19, 2002 to Dec 19, 2007 · Santa Barbara, Ca

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to no registered destination
left Mar 1, 2024 · Departure, no registered destination
S•••••••• F••••••••• I••• to T•• A•••••••• G••••
left Sep 1, 2023, registered Feb 21, 2023 (-192 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
C••••• A•••••• N••••••• L•• to S•••••••• F••••••••• I•••
left Nov 19, 2018, registered Nov 2, 2018 (-17 days) · Affiliated broker-dealer or bank to another
A••••••••• P••••••• I••••••••• A••••••• I•• to A••••••••• S••••••••• C••••
left Dec 19, 2007, registered Apr 7, 2003 (-1717 days) · Other
A••••••••• S••••••••• C•••• to C••••• A•••••• N••••••• L••
left Dec 19, 2007, registered Jan 2, 2008 (14 days) · Other

Signals

B•••• R•••• A••••••• no longer registered at O•••• W•••••• I•••; no later IA registration on IAPD
Mar 1, 2024 · a•••••• departure · fact
B•••• R•••• A••••••• left S•••••••• F••••••••• I••• for T•• A•••••••• G•••• (registered 2023-02-21)
Sep 1, 2023 · a•••••• firm change · 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: 45derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address