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

E••• P• C•••••••

T••••• W••••• M•••••••••independent RIASanta Barbara, CaIA-onlyIAPD 5881904

Certified Financial Planner

Feed of 09/14/2026

Also filed as E••• C•••••••

At current firm

0 y

since Oct 16, 2025

In the industry

15 y

since Apr 30, 2011 (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

T••••• W••••• M••••••••• independent RIA current
since Oct 16, 2025 · Santa Barbara, Ca
J••• M••••• S••••••••• L•• wirehouse
Aug 31, 2023 to Jan 5, 2024 · Carrollton, Tx
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Mar 13, 2023 · Boston, Ma
S•••••••• A••••••• L•• national BD
Nov 11, 2011 to Jul 13, 2018 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to T••••• W••••• M•••••••••
left Jan 5, 2024, registered Oct 16, 2025 (650 days) · Wirehouse to independent RIA
F••••••• P••••••• A•• W•••••••• A••••••• to J••• M••••• S••••••••• L••
left Mar 13, 2023, registered Aug 31, 2023 (171 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

E••• P• C••••••• left J••• M••••• S••••••••• L•• for T••••• W••••• M••••••••• (registered 2025-10-16)
Jan 5, 2024 · Advisor changed firm · fact
E••• P• C••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2023-08-31)
Mar 13, 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: Independent wealth managerderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address