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••••• N•••••

L•••• F••• A••••••• S•••••••BD affiliatedDallas, Txdual registrantIAPD 2126246

Feed of 09/14/2026

Also filed as T••••• J N•••••

At current firm

4 y

since Dec 21, 2021

In the industry

35 y

since Mar 11, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•••• F••• A••••••• S••••••• BD affiliated current
since Dec 21, 2021 · Dallas, Tx
S• A•••••••• L•• independent RIA
Jan 10, 2019 to Dec 31, 2020 · St. Louis, Mo
O•••• W•••••• I••• BD affiliated
Nov 2, 2018 to Jan 22, 2019 · Saint Louis, Mo
S••••••• I••••••••• I••• former
May 13, 2016 to Nov 2, 2018 · Charleston, Sc
T••••••••• F•••••••• A•••••••• L•• BD affiliated
Sep 1, 1995 to May 13, 2016 · St. Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

S• A•••••••• L•• to L•••• F••• A••••••• S•••••••
left Dec 31, 2020, registered Dec 21, 2021 (355 days) · RIA to affiliated broker-dealer or bank
O•••• W•••••• I••• to S• A•••••••• L••
left Jan 22, 2019, registered Jan 10, 2019 (-12 days) · Affiliated broker-dealer or bank to another
S••••••• I••••••••• I••• to O•••• W•••••• I•••
left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••
left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move

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: Broker-dealer affiliated wealth managerderived
Years in industry: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address