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

D•••• T••••

T•••• W••••• S•••••••• L••independent RIAWestlake Village, CaIA-onlyIAPD 6086356

Feed of 09/14/2026

At current firm

1 y

since Nov 25, 2024

In the industry

14 y

since Jul 17, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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••••• S•••••••• L•• i••••••••• wealth current
since Nov 25, 2024 · Westlake Village, Ca
M•••••• I••••••••• i••••••••• wealth
Nov 7, 2023 to Sep 5, 2024 · Westlake Village, Ca
V••••••• C•••••• M••••••••• L•• i••••••••• wealth
Dec 8, 2022 to Jan 6, 2023 · Van Nuys, Ca
T• A••••••••• I••• former
Feb 27, 2018 to Nov 25, 2021 · Woodland Hills, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Nov 25, 2021 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Jun 7, 2017 to Feb 26, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

M•••••• I••••••••• to T•••• W••••• S•••••••• L••
left Sep 5, 2024, registered Nov 25, 2024 (81 days) · RIA to RIA · moved with a team
V••••••• C•••••• M••••••••• L•• to M•••••• I•••••••••
left Jan 6, 2023, registered Nov 7, 2023 (305 days) · RIA to RIA
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 25, 2021, registered Feb 27, 2018 (-1367 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to V••••••• C•••••• M••••••••• L••
left Nov 25, 2021, registered Dec 8, 2022 (378 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move

Signals

D•••• T•••• left M•••••• I••••••••• for T•••• W••••• S•••••••• L•• (registered 2024-11-25)
Sep 5, 2024 · Advisor changed firm · fact
D•••• T•••• left V••••••• C•••••• M••••••••• L•• for M•••••• I••••••••• (registered 2023-11-07)
Jan 6, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address