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

D•••• T••••• M••••••

O•••• W•••••• I•••BD affiliatedSan Diego, Cadual registrantIAPD 5531114

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

Also filed as D•••• T••••• M••••••

At current firm

1 y

since Nov 6, 2024

In the industry

16 y

since Mar 29, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Nov 6, 2024 · San Diego, Ca
K••••• A••••••• S•••••••• L•• BD affiliated
Jan 17, 2023 to Oct 29, 2024 · Austin, Tx
L•• F•••••••• L•• BD affiliated
May 13, 2015 to Jan 11, 2023 · Chico, Ca
E••••• J•••• national BD
Feb 13, 2015 to Feb 18, 2015 · San Diego, Ca
M••••• S•••••• wirehouse
Feb 8, 2013 to Feb 13, 2015 · La Jolla, Ca

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to O•••• W•••••• I•••
left Oct 29, 2024, registered Nov 6, 2024 (8 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••
left Jan 11, 2023, registered Jan 17, 2023 (6 days) · RIA to affiliated broker-dealer or bank
E••••• J•••• to L•• F•••••••• L••
left Feb 18, 2015, registered May 13, 2015 (84 days) · Other
M••••• S•••••• to E••••• J••••
left Feb 13, 2015, registered Feb 13, 2015 (0 days) · Wirehouse to affiliated broker-dealer or bank

Signals

D•••• T••••• M•••••• left K••••• A••••••• S•••••••• L•• for O•••• W•••••• I••• (registered 2024-11-06)
Oct 29, 2024 · Advisor changed firm · fact
D•••• T••••• M•••••• left L•• F•••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2023-01-17)
Jan 11, 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address