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

A•• T••••

C•••••• S••••• • C••• I•••national BDEncino, Cadual registrantIAPD 5587499

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

Also filed as A•• T••••

At current firm

0 y

since Oct 6, 2025

In the industry

17 y

since Oct 6, 2008 (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

C•••••• S••••• • C••• I••• national BD current
since Oct 6, 2025 · Encino, Ca
V•••• F•••••••• A•••••••• I••• BD affiliated
Jan 6, 2023 to Sep 30, 2025 · Glendale, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Sep 9, 2021 to Jul 29, 2022 · Covington, Ky
E•••••••• A•••••••• L•• national BD
Jul 20, 2020 to Jul 6, 2021 · Woodland Hills, Ca
T•• S••••••• G•••• independent RIA
Feb 5, 2014 to Aug 8, 2016 · Pasadena, Ca
A••••••••• I••• BD affiliated
Oct 6, 2008 to Sep 23, 2013 · Encino, Ca

Moves

a registration end followed by a registration begin elsewhere

V•••• F•••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
left Sep 30, 2025, registered Oct 6, 2025 (6 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to V•••• F•••••••• A•••••••• I•••
left Jul 29, 2022, registered Jan 6, 2023 (161 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 6, 2021, registered Sep 9, 2021 (65 days) · Affiliated broker-dealer or bank to another
T•• S••••••• G•••• to E•••••••• A•••••••• L••
left Aug 8, 2016, registered Jul 20, 2020 (1442 days) · Other
A••••••••• I••• to T•• S••••••• G••••
left Sep 23, 2013, registered Feb 5, 2014 (135 days) · Other

Signals

A•• T•••• left V•••• F•••••••• A•••••••• I••• for C•••••• S••••• • C••• I••• (registered 2025-10-06)
Sep 30, 2025 · Advisor changed firm · fact
A•• T•••• left F••••••• P••••••• A•• W•••••••• A••••••• for V•••• F•••••••• A•••••••• I••• (registered 2023-01-06)
Jul 29, 2022 · 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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address