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•••••• P•••••• S••••••

O•• C•••••• M••••••••• L••independent RIAWestlake Village, Ca IA-onlyIAPD 5118780

Certified Financial Planner

Feed of 09/14/2026

Also filed as T•••••• P•••••• S••••••

At current firm

1 y

since Sep 3, 2025

In the industry

20 y

since Sep 5, 2006 (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

O•• C•••••• M••••••••• L•• independent RIA current
since Sep 3, 2025 · Denver, Co
A••••• A•• P••••••• S••••••• BD affiliated
Jul 11, 2025 to Aug 4, 2025 · Denver, Co
S•••••••• A••••••• L•• national BD
Jun 27, 2008 to Sep 19, 2017 · Portland, Me
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 26, 2006 to Oct 30, 2006 · Portsmouth, Nh

Moves

a registration end followed by a registration begin elsewhere

A••••• A•• P••••••• S••••••• to O•• C•••••• M••••••••• L••
left Aug 4, 2025, registered Sep 3, 2025 (30 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••
left Sep 19, 2017, registered Jul 11, 2025 (2852 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to S•••••••• A••••••• L••
left Oct 30, 2006, registered Jun 27, 2008 (606 days) · Affiliated broker-dealer or bank to another

Signals

T•••••• P•••••• S•••••• left A••••• A•• P••••••• S••••••• for O•• C•••••• M••••••••• L•• (registered 2025-09-03)
Aug 4, 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: Independent wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address