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.
Advisor moves
Arrivals at Southern California Wealth Management Associates
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Scott Michael Ozer | Emerson Equity LLC BD affiliated | Southern California Wealth Management Associates state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 9, 2026 | Mar 11, 2026 |
| Helen Hsi-Shan Lin | Western International Securities BD affiliated | Southern California Wealth Management Associates state registered | Affiliated broker-dealer or bank to a state-registered adviser | May 30, 2025 | Jul 8, 2025 (39 d) |
| Terry Tin Sing Tang | Western International Securities independent RIA | Southern California Wealth Management Associates state registered | RIA to a state-registered adviser | Mar 6, 2019 | Nov 22, 2024 (2088 d) |
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3 moves match.