RIA Intelligence

• H•••••• W••••• M••••••••• L•• independent RIA current
  since Jul 18, 2025 · Las Vegas, Nv
• R•• C•••••• M••••••• L•• national BD
  Apr 29, 2015 to Jul 10, 2025 · Las Vegas, Nv
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Apr 30, 2015 · Seattle, Wa
• P••••••••• E••••• G••••• L•• unclassified
  Oct 27, 1992 to Jul 1, 2003 · Seattle, Wa

• R•• C•••••• M••••••• L•• to H•••••• W••••• M••••••••• L••
  left Jul 10, 2025, registered Jul 18, 2025 (8 days) · Affiliated broker-dealer or bank to independent RIA
• W•••• F•••• A••••••• to R•• C•••••• M••••••• L••
  left Apr 30, 2015, registered Apr 29, 2015 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

• Philip Duane Tom left Rbc Capital Markets, Llc for Hohimer Wealth Management, Llc (registered 2025-07-18)
  Jul 10, 2025 · Advisor changed firm · fact

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.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Independent wealth managerderived

Years in industry

43derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address