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

R••• J•••• T••••••

W•••• F•••• A•••••••wirehouseManhattan Beach, Ca dual registrantIAPD 6442493

Chartered Financial Analyst

Feed of 09/15/2026

Also filed as R••• T••••••

At current firm

2 y

since Nov 3, 2023

In the industry

11 y

since Jan 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Aug 28, 2026 · Beverly Hills, Ca
A••••••••• F•••••••• S•••••••• L•• national BD current
since Nov 3, 2023 · Los Angeles, Ca
C••••••• S••••••••• former
Aug 17, 2023 to Nov 3, 2023 · Los Angeles, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Sep 10, 2020 to Jun 1, 2023 · New York, Ny
M••••• P•••••• C•••••• G•••• independent RIA
Dec 21, 2018 to Aug 24, 2020 · New York, Ny
R•• R•••••••• L•• BD affiliated
Apr 9, 2015 to Jun 6, 2018 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
U••• B•••••• A•••••••• L•• to C••••••• S•••••••••
left Jun 1, 2023, registered Aug 17, 2023 (77 days) · Affiliated broker-dealer or bank to independent RIA
M••••• P•••••• C•••••• G•••• to U••• B•••••• A•••••••• L••
left Aug 24, 2020, registered Sep 10, 2020 (17 days) · RIA to affiliated broker-dealer or bank
R•• R•••••••• L•• to M••••• P•••••• C•••••• G••••
left Jun 6, 2018, registered Dec 21, 2018 (198 days) · Affiliated broker-dealer or bank to independent RIA

Signals

R••• J•••• T•••••• left U••• B•••••• A•••••••• L•• for C••••••• S••••••••• (registered 2023-08-17)
Jun 1, 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address