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•••••• R• W•••••

L•• F•••••••• L••BD affiliatedEncinitas, Ca dual registrantIAPD 6042579

Certified Financial Planner

Feed of 09/15/2026

Also filed as T•••••• R• W•••••

At current firm

2 y

since Mar 12, 2024

In the industry

13 y

since Apr 8, 2013 (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

L•• F•••••••• L•• BD affiliated current
since Mar 12, 2024 · Carlsbad, Ca
P•• W••••• M••••••••• BD affiliated
Oct 21, 2021 to Mar 15, 2024 · San Diego, Ca
P•••• S••••••••• L•• no RAUM
Apr 21, 2021 to Oct 20, 2021 · San Diego, Ca
E••••• J•••• national BD
Jun 11, 2020 to Nov 20, 2020 · Cardiff By The Sea, Ca
J••• M••••• S••••••••• L•• wirehouse
Oct 13, 2014 to Jan 16, 2016 · San Marcos, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 8, 2013 to Feb 11, 2014 · Carlsbad, Ca

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to L•• F•••••••• L••
left Mar 15, 2024, registered Mar 12, 2024 (-3 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to P•• W••••• M•••••••••
left Oct 20, 2021, registered Oct 21, 2021 (1 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to P•••• S••••••••• L••
left Nov 20, 2020, registered Apr 21, 2021 (152 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to E••••• J••••
left Jan 16, 2016, registered Jun 11, 2020 (1608 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Feb 11, 2014, registered Oct 13, 2014 (244 days) · Wirehouse to wirehouse

Signals

T•••••• R• W••••• left P•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2024-03-12)
Mar 15, 2024 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address