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.
Feed of 09/15/2026
Also filed as Robert Pier
At current firm
0 y
since May 22, 2026
In the industry
27 y
since Jan 1, 1999 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Hightower Advisors, LLC BD affiliated currentsince May 22, 2026 · Chicago, Il
- Morgan Stanley wirehouseAug 11, 2011 to Feb 12, 2013 · Greenwood Village, Co
- Transamerica Investment Management, LLC unclassifiedDec 18, 2008 to Oct 25, 2010 · Clifton, Nj
- Theta Capital Management, LLC. unclassifiedJan 14, 2005 to Dec 19, 2007 · Englewood, Co
- A. G. Edwards & Sons, Inc. unclassifiedJan 1, 1999 to Apr 13, 2004 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- Morgan Stanley to Hightower Advisors, LLCleft Feb 12, 2013, registered May 22, 2026 (4847 days) · Wirehouse to affiliated broker-dealer or bank
- Transamerica Investment Management, LLC to Morgan Stanleyleft Oct 25, 2010, registered Aug 11, 2011 (290 days) · Other
- Theta Capital Management, LLC. to Transamerica Investment Management, LLCleft Dec 19, 2007, registered Dec 18, 2008 (365 days) · Other
- A. G. Edwards & Sons, Inc. to Theta Capital Management, LLC.left Apr 13, 2004, registered Jan 14, 2005 (276 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address