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

J••••• T••••• W•••••

T••••••••• R••••••••• A•••••••• L••BD affiliatedOceanside, Cadual registrantIAPD 6587813

Feed of 09/14/2026

Also filed as J••••• W•••••

At current firm

0 y

since Jan 21, 2026

In the industry

10 y

since Dec 1, 2015 (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

T••••••••• R••••••••• A•••••••• L•• BD affiliated current
since Jan 21, 2026 · Oceanside, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to Jul 7, 2025 · Hemet, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Dec 17, 2021 to Mar 31, 2025 · Simi Valley, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 15, 2019 to Sep 9, 2021 · Santa Barbara, Ca
E••••• J•••• national BD
Feb 26, 2016 to Jan 24, 2019 · San Bernardino, Ca

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to T••••••••• R••••••••• A•••••••• L••
left Jul 7, 2025, registered Jan 21, 2026 (198 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Sep 9, 2021, registered Dec 17, 2021 (99 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 24, 2019, registered Apr 15, 2019 (81 days) · Affiliated broker-dealer or bank to wirehouse

Signals

J••••• T••••• W••••• left S•••••••• A••••••• L•• for T••••••••• R••••••••• A•••••••• L•• (registered 2026-01-21)
Jul 7, 2025 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address