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.

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Registered advisor

T••••• D•••• S••••••

F•••• F•••••••• S•••••••• L••independent RIALittle Rock, Ardual registrantIAPD 1280319

Feed of 09/14/2026

Also filed as Tom S••••••

At current firm

2 y

since Apr 30, 2024

In the industry

29 y

since Apr 7, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• F•••••••• S•••••••• L•• independent RIA current
since Apr 30, 2024 · Little Rock, Ar
S••••• M••••••••• independent RIA
Nov 1, 2018 to Mar 5, 2024 · Little Rock, Ar
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Dec 19, 2011 to Nov 6, 2018 · Little Rock, Ar
C•••••••• F••••••••• I••• BD affiliated
Oct 16, 2002 to Dec 20, 2011 · Little Rock, Ar
C•••••••• I••••••••• R•••••••• I••• unclassified
Jan 4, 2001 to Oct 31, 2002 · Little Rock, Ar

Moves

a registration end followed by a registration begin elsewhere

S••••• M••••••••• to F•••• F•••••••• S•••••••• L••
left Mar 5, 2024, registered Apr 30, 2024 (56 days) · RIA to RIA · moved with a team
C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• M•••••••••
left Nov 6, 2018, registered Nov 1, 2018 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
C•••••••• F••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Dec 20, 2011, registered Dec 19, 2011 (-1 days) · Other
C•••••••• I••••••••• R•••••••• I••• to C•••••••• F••••••••• I•••
left Oct 31, 2002, registered Oct 16, 2002 (-15 days) · Other

Signals

T••••• D•••• S•••••• left S••••• M••••••••• for F•••• F•••••••• S•••••••• L•• (registered 2024-04-30)
Mar 5, 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: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address