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••• T•• T•••

C•••••••• G••••• M•••••• I•••BD affiliatedLos Angeles, Ca dual registrantIAPD 4913927

Feed of 09/14/2026

Also filed as Tuc Tri T•••

At current firm

0 y

since Nov 24, 2025

In the industry

21 y

since Mar 29, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• G••••• M•••••• I••• BD affiliated current
since Nov 24, 2025 · Los Angeles, Ca
H••• S••••••••• •••• I••• BD affiliated
Feb 21, 2012 to Nov 28, 2025 · Torrance, Ca
W•••• F•••• A••••••• wirehouse
Jun 1, 2010 to Dec 22, 2011 · Riverside, Ca
C•••• I••••••••• S••••••• C•••• former
May 2, 2009 to Jun 7, 2010 · Redlands, Ca
W••• I••••••••• I••• unclassified
Jun 30, 2008 to May 2, 2009 · Monterey Park, Ca

Moves

a registration end followed by a registration begin elsewhere

H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••
left Nov 28, 2025, registered Nov 24, 2025 (-4 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to H••• S••••••••• •••• I•••
left Dec 22, 2011, registered Feb 21, 2012 (61 days) · Other
C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••
left Jun 7, 2010, registered Jun 1, 2010 (-6 days) · Other
W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
left May 2, 2009, registered May 2, 2009 (0 days) · Other

Signals

T••• T•• T••• left H••• S••••••••• •••• I••• for C•••••••• G••••• M•••••• I••• (registered 2025-11-24)
Nov 28, 2025 · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address