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
Timothy Neil Howard
Feed of 09/14/2026
Also filed as Tim Howard
At current firm
2 y
since Nov 27, 2023
In the industry
32 y
since Aug 30, 1994 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Nov 27, 2023 · Elkhorn, Ne
- Bancwest Investment Services, Inc. (Bwis) formerJul 13, 2012 to Aug 24, 2023 · Omaha, Ne
- Qa3 Financial LLC unclassifiedJun 12, 2008 to Feb 11, 2011 · Omaha, Ne
- Cambridge Investment Research Advisors, Inc. BD affiliatedJan 17, 2007 to Apr 8, 2008 · Fairfield, Ia
- Securities America Advisors, Inc. formerJul 23, 2003 to Oct 27, 2006 · Keller, Tx
Moves
a registration end followed by a registration begin elsewhere
- Bancwest Investment Services, Inc. (Bwis) to LPL Financial LLCleft Aug 24, 2023, registered Nov 27, 2023 (95 days) · Affiliated broker-dealer or bank to another · moved with a team
- Qa3 Financial LLC to Bancwest Investment Services, Inc. (Bwis)left Feb 11, 2011, registered Jul 13, 2012 (518 days) · Other
- Cambridge Investment Research Advisors, Inc. to Qa3 Financial LLCleft Apr 8, 2008, registered Jun 12, 2008 (65 days) · Other
- Securities America Advisors, Inc. to Cambridge Investment Research Advisors, Inc.left Oct 27, 2006, registered Jan 17, 2007 (82 days) · Other
Signals
- Timothy Neil Howard left Bancwest Investment Services, Inc. (Bwis) for Lpl Financial Llc (registered 2023-11-27)Aug 24, 2023 · 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address