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.

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Registered advisor

T••••• P••••••

C•••••• S••••• • C••• I•••national BDSanta Monica, Cadual registrantIAPD 5659559

Feed of 09/14/2026

Also filed as Maria Teresa Garcia

At current firm

0 y

since Jun 11, 2026

In the industry

17 y

since Jun 23, 2009 (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•••••• S••••• • C••• I••• national BD current
since Jun 11, 2026 · Santa Monica, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Apr 2, 2026 · Redondo Beach, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 9, 2020 to Mar 31, 2025 · Santa Monica, Ca
O••••••••• • C•• I••• BD affiliated
Sep 18, 2020 to Oct 30, 2020 · Los Angeles, Ca
J••• M••••• S••••••••• L•• wirehouse
Jun 24, 2019 to Oct 5, 2020 · Hermosa Beach, Ca
C••• F•••••••• S•••••••• L••• former
Apr 23, 2018 to Mar 25, 2019 · Hawthorne, Ca
E•••• S••••••••• L•• BD affiliated
Dec 14, 2015 to Apr 25, 2018 · Los Angeles, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Apr 2, 2026, registered Jun 11, 2026 (70 days) · Affiliated broker-dealer or bank to another · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
O••••••••• • C•• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 30, 2020, registered Nov 9, 2020 (10 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to O••••••••• • C•• I•••
left Oct 5, 2020, registered Sep 18, 2020 (-17 days) · Wirehouse to affiliated broker-dealer or bank
C••• F•••••••• S•••••••• L••• to J••• M••••• S••••••••• L••
left Mar 25, 2019, registered Jun 24, 2019 (91 days) · Affiliated broker-dealer or bank to wirehouse
E•••• S••••••••• L•• to C••• F•••••••• S•••••••• L•••
left Apr 25, 2018, registered Apr 23, 2018 (-2 days) · Affiliated broker-dealer or bank to another

Signals

T••••• P•••••• left S•••••••• A••••••• L•• for C•••••• S••••• • C••• I••• (registered 2026-06-11)
Apr 2, 2026 · 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