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••••• B•••••••••

N•••••• A•••••••BD affiliatedNew Orleans, La IA-onlyIAPD 1823924

Feed of 09/15/2026

Also filed as T••••• B•••••••••

At current firm

3 y

since May 15, 2023

In the industry

32 y

since Oct 27, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N•••••• A••••••• BD affiliated current
since May 15, 2023 · Boca Raton, Fl
S••••• W••••• mixed wealth
Feb 22, 2019 to May 17, 2023 · Boca Raton, Fl
T•• H•••••• G•••• former
Oct 24, 2017 to Jun 11, 2019 · Boca Raton, Fl
W•••• F•••• A••••••• wirehouse
Nov 16, 2012 to Oct 24, 2017 · Boca Raton, Fl
M••••• S•••••• wirehouse
Jun 1, 2009 to Nov 20, 2012 · Providence, Ri
M••••• S•••••• • C•• L•• unclassified
Nov 14, 2008 to Jun 1, 2009 · Providence, Ri
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to Nov 14, 2008 · Providence, Ri
P••••••••• E••••• G••••• L•• unclassified
Apr 8, 2002 to Jul 1, 2003 · Providence, Ri

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• to N•••••• A•••••••
left May 17, 2023, registered May 15, 2023 (-2 days) · RIA to affiliated broker-dealer or bank
T•• H•••••• G•••• to S••••• W•••••
left Jun 11, 2019, registered Feb 22, 2019 (-109 days) · RIA to a newly registered adviser
W•••• F•••• A••••••• to T•• H•••••• G••••
left Oct 24, 2017, registered Oct 24, 2017 (0 days) · Wirehouse to independent RIA
M••••• S•••••• to W•••• F•••• A•••••••
left Nov 20, 2012, registered Nov 16, 2012 (-4 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to M••••• S•••••• • C•• L••
left Nov 14, 2008, registered Nov 14, 2008 (0 days) · Other
P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Signals

T••••• B••••••••• left S••••• W••••• for N•••••• A••••••• (registered 2023-05-15)
May 17, 2023 · 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address