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••• L•• M••••••

P•••••••• S••••••••• I•••BD affiliatedOmaha, Nedual registrantIAPD 2479621

Feed of 09/14/2026

Also filed as T••• Lee Ruth

At current firm

2 y

since Jun 11, 2024

In the industry

29 y

since Oct 1, 1996 (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

P•••••••• S••••••••• I••• BD affiliated current
since Jun 11, 2024 · Omaha, Ne
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 21, 2024 to Jun 7, 2024 · Omaha, Ne
C••••• A••••••• L•• former
Dec 20, 2018 to Mar 21, 2024 · Omaha, Ne
Q•••••• A•••• M••••••••• I••• former
Oct 27, 2014 to Dec 18, 2018 · Minneapolis, Mn
S•••••••• F••••••••• I••• former
Jul 18, 2011 to Oct 24, 2014 · Omaha, Ne
S••••••• C••••••• L•• unclassified
Jun 7, 2000 to Jul 8, 2011 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to P•••••••• S••••••••• I•••
left Jun 7, 2024, registered Jun 11, 2024 (4 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• A••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 21, 2024, registered Mar 21, 2024 (0 days) · corporate re-registration, not a move
Q•••••• A•••• M••••••••• I••• to C••••• A••••••• L••
left Dec 18, 2018, registered Dec 20, 2018 (2 days) · Affiliated broker-dealer or bank to another
S•••••••• F••••••••• I••• to Q•••••• A•••• M••••••••• I•••
left Oct 24, 2014, registered Oct 27, 2014 (3 days) · Other
S••••••• C••••••• L•• to S•••••••• F••••••••• I•••
left Jul 8, 2011, registered Jul 18, 2011 (10 days) · Other

Signals

T••• L•• M•••••• left C••••• I••••••••• A••••••• L•• for P•••••••• S••••••••• I••• (registered 2024-06-11)
Jun 7, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address