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

S••••• E•••• T•••••••••

E• W••••• A•••••••independent RIASan Francisco, Ca IA-onlyIAPD 6896737

Certified Financial Planner

Feed of 09/14/2026

Also filed as Sam T•••••••••

At current firm

1 y

since Apr 8, 2025

In the industry

10 y

since Sep 1, 2016 (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

E• W••••• A••••••• independent RIA current
since Apr 8, 2025 · San Francisco, Ca
P•••••••• W•••••• L•• former
May 10, 2024 to Jul 15, 2025 · San Francisco, Ca
F•••• independent RIA
Sep 27, 2021 to Mar 20, 2024 · West Palm Beach, Fl
V••••••• A•••••••• I••• BD affiliated
Jul 31, 2020 to Sep 27, 2021 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

P•••••••• W•••••• L•• to E• W••••• A•••••••
left Jul 15, 2025, registered Apr 8, 2025 (-98 days) · RIA to RIA · moved with a team
F•••• to P•••••••• W•••••• L••
left Mar 20, 2024, registered May 10, 2024 (51 days) · RIA to RIA
V••••••• A•••••••• I••• to F••••
left Sep 27, 2021, registered Sep 27, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA

Signals

S••••• E•••• T••••••••• left P•••••••• W•••••• L•• for E• W••••• A••••••• (registered 2025-04-08)
Jul 15, 2025 · Advisor changed firm · fact
S••••• E•••• T••••••••• left Facet for P•••••••• W•••••• L•• (registered 2024-05-10)
Mar 20, 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: Independent wealth managerderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address