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••• P•••

H••• S••••••••• •••• I•••BD affiliatedSan Francisco, Cadual registrantIAPD 6056501

Feed of 09/14/2026

Also filed as Ziyi P•••

At current firm

1 y

since Aug 6, 2025

In the industry

14 y

since Jul 20, 2012 (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

H••• S••••••••• •••• I••• BD affiliated current
since Aug 6, 2025 · San Francisco, Ca
W•••• F•••• A••••••• wirehouse
Jul 27, 2023 to Jul 29, 2025 · Walnut Creek, Ca
H••• S••••••••• •••• I••• BD affiliated
Aug 21, 2020 to Jul 31, 2023 · Chicago, Il
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 14, 2018 to Jul 31, 2020 · Chicago, Il
W•••• F•••• A••••••• wirehouse
Jun 21, 2013 to Mar 12, 2018 · Deerfield, Il
N•• E•••••• S••••••••• C••••••••• former
Mar 7, 2013 to Jun 19, 2013 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to H••• S••••••••• •••• I•••
left Jul 29, 2025, registered Aug 6, 2025 (8 days) · Wirehouse to affiliated broker-dealer or bank
H••• S••••••••• •••• I••• to W•••• F•••• A•••••••
left Jul 31, 2023, registered Jul 27, 2023 (-4 days) · Affiliated broker-dealer or bank to wirehouse
C••••• I••••••••• A••••••• L•• to H••• S••••••••• •••• I•••
left Jul 31, 2020, registered Aug 21, 2020 (21 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••
left Mar 12, 2018, registered Mar 14, 2018 (2 days) · Other
N•• E•••••• S••••••••• C••••••••• to W•••• F•••• A•••••••
left Jun 19, 2013, registered Jun 21, 2013 (2 days) · Other

Signals

T••• P••• left W•••• F•••• A••••••• for H••• S••••••••• •••• I••• (registered 2025-08-06)
Jul 29, 2025 · Advisor changed firm · fact
T••• P••• left H••• S••••••••• •••• I••• for W•••• F•••• A••••••• (registered 2023-07-27)
Jul 31, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address