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•••• S•••••••

R•• S••••••••• I•••BD affiliatedGlendale, Ca dual registrantIAPD 7140719

Feed of 09/14/2026

At current firm

1 y

since Sep 15, 2025

In the industry

13 y

since Sep 1, 2013 (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

R•• S••••••••• I••• BD affiliated current
since Sep 15, 2025 · Glendale, Ca
W•••• F•••• A••••••• wirehouse
Oct 2, 2024 to Sep 3, 2025 · Los Angeles, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 26, 2022 to Sep 26, 2024 · Los Angeles, Ca
M••••• S•••••• wirehouse
Oct 25, 2021 to Jul 28, 2022 · Los Angeles, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 23, 2020 to Oct 11, 2021 · Glendale, Ca

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to R•• S••••••••• I•••
left Sep 3, 2025, registered Sep 15, 2025 (12 days) · Wirehouse to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Sep 26, 2024, registered Oct 2, 2024 (6 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 28, 2022, registered Sep 26, 2022 (60 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Oct 11, 2021, registered Oct 25, 2021 (14 days) · Wirehouse to wirehouse · moved with a team

Signals

T•••• S••••••• left W•••• F•••• A••••••• for R•• S••••••••• I••• (registered 2025-09-15)
Sep 3, 2025 · Advisor changed firm · fact
T•••• S••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2024-10-02)
Sep 26, 2024 · Advisor changed firm · fact
T•••• S••••••• left M••••• S•••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-09-26)
Jul 28, 2022 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address