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 Timothy Rice
At current firm
2 y
since Aug 7, 2024
In the industry
22 y
since Jan 28, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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 Aug 7, 2024 · Bluffton, Sc
- Captrust institutionalMay 6, 2020 to Aug 5, 2024 · Chesterton, In
- First Allied Advisory Services, Inc. formerJan 3, 2007 to Mar 18, 2014 · Chesterfield, Mo
- Lakeside Wealth Management Group, LLC formerMay 8, 2006 to Jun 30, 2020 · Chesterton, In
- Ffp Advisory Services Inc unclassifiedJun 3, 2004 to Jan 3, 2007 · Chesterton, In
Moves
a registration end followed by a registration begin elsewhere
- Lakeside Wealth Management Group, LLC to First Allied Advisory Services, Inc.left Jun 30, 2020, registered Jan 3, 2007 (-4927 days) · Other · moved with a team
- First Allied Advisory Services, Inc. to Captrustleft Mar 18, 2014, registered May 6, 2020 (2241 days) · Other
- Ffp Advisory Services Inc to Lakeside Wealth Management Group, LLCleft Jan 3, 2007, registered May 8, 2006 (-240 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address