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.
Registered advisor
Thomas Witt Baker
Feed of 09/14/2026
At current firm
0 y
since Aug 20, 2026
In the industry
31 y
since Sep 5, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Equitable Advisors, LLC national BD currentsince Aug 20, 2026 · Fredericksburg, Va
- Stifel Independent Advisors, LLC BD affiliatedJul 25, 2024 to Aug 20, 2026 · St. Louis, Mo
- Stifel, Nicolaus & Company, Incorporated national BDJan 3, 2017 to Jul 25, 2024 · Fredericksburg, Va
- UBS Financial Services Inc. wirehouseNov 20, 2008 to Jan 11, 2017 · Tampa, Fl
- Citigroup Global Markets Inc. BD affiliatedSep 12, 2006 to Nov 18, 2008 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- Stifel Independent Advisors, LLC to Equitable Advisors, LLCleft Aug 20, 2026, registered Aug 20, 2026 (0 days) · corporate re-registration, not a move
- Stifel, Nicolaus & Company, Incorporated to Stifel Independent Advisors, LLCleft Jul 25, 2024, registered Jul 25, 2024 (0 days) · Affiliated broker-dealer or bank to another
- UBS Financial Services Inc. to Stifel, Nicolaus & Company, Incorporatedleft Jan 11, 2017, registered Jan 3, 2017 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- Citigroup Global Markets Inc. to UBS Financial Services Inc.left Nov 18, 2008, registered Nov 20, 2008 (2 days) · Other
Signals
- Thomas Witt Baker left Stifel, Nicolaus & Company, Incorporated for Stifel Independent Advisors, Llc (registered 2024-07-25)Jul 25, 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address