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••••• J•••• D••••••

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••independent RIAScottsdale, Az dual registrantIAPD 1869305

Certified Financial Planner

Feed of 09/14/2026

Also filed as Tom D••••••

At current firm

2 y

since Sep 3, 2024

In the industry

38 y

since Sep 15, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA current
since Sep 3, 2024 · Shavertown, Pa
S•• I••••••••• A•••••••• I••• former
Nov 12, 2021 to Sep 5, 2024 · Amherst, Ny
L•• F•••••••• L•• BD affiliated
Feb 14, 2018 to Dec 13, 2021 · Shavertown, Pa
I••••• F•••••••• C••••••••• former
Aug 7, 2012 to Feb 20, 2018 · Amherst, Ny

Moves

a registration end followed by a registration begin elsewhere

S•• I••••••••• A•••••••• I••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••
left Sep 5, 2024, registered Sep 3, 2024 (-2 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to S•• I••••••••• A•••••••• I•••
left Dec 13, 2021, registered Nov 12, 2021 (-31 days) · Affiliated broker-dealer or bank to another
I••••• F•••••••• C••••••••• to L•• F•••••••• L••
left Feb 20, 2018, registered Feb 14, 2018 (-6 days) · corporate re-registration, not a move

Signals

T••••• J•••• D•••••• left S•• I••••••••• A•••••••• I••• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2024-09-03)
Sep 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: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address