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 Francis Muldowney
Feed of 09/14/2026
At current firm
6 y
since May 6, 2020
In the industry
35 y
since Mar 14, 1991 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Captrust institutional currentsince May 6, 2020 · Chesterton, In
- Lakeside Wealth Management Group, LLC formerMar 3, 2017 to Jun 30, 2020 · Chesterton, In
- Wells Fargo Advisors wirehouseJan 2, 2009 to Mar 9, 2017 · Chicago, Il
- UBS Financial Services Inc. wirehouseAug 13, 2004 to Jan 20, 2009 · Chicago, Il
- Northern Trust Securities, Inc BD affiliatedApr 2, 2002 to Aug 13, 2004 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Lakeside Wealth Management Group, LLC to Captrustleft Jun 30, 2020, registered May 6, 2020 (-55 days) · Other · moved with a team
- Wells Fargo Advisors to Lakeside Wealth Management Group, LLCleft Mar 9, 2017, registered Mar 3, 2017 (-6 days) · Other
- UBS Financial Services Inc. to Wells Fargo Advisorsleft Jan 20, 2009, registered Jan 2, 2009 (-18 days) · Wirehouse to wirehouse
- Northern Trust Securities, Inc to UBS Financial Services Inc.left Aug 13, 2004, registered Aug 13, 2004 (0 days) · Other
Signals
No dated event on this person.
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
- Institutional managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address