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
Richard Jeffrey Thomas
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
4 y
since Apr 27, 2022
In the industry
32 y
since Jul 8, 1994 (earliest exam, job or registration)
Prior registered firms
5
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- Perigon Wealth Management, LLC independent RIA currentsince Apr 27, 2022 · San Francisco, Ca
- Sagepoint Financial, Inc. formerJan 25, 2017 to Apr 29, 2022 · Wilmington, De
- First Allied Advisory Services, Inc. formerJul 2, 2012 to Jan 27, 2017 · Greenville, De
- First Allied Securities, Inc. formerFeb 2, 2009 to Jul 2, 2012 · San Diego, Ca
- Sagepoint Financial, Inc. formerOct 31, 2008 to Feb 17, 2009 · Greenville, De
- American General Securities Incorporated unclassifiedOct 8, 2002 to Oct 31, 2008 · Greenville, De
Moves
a registration end followed by a registration begin elsewhere
- Sagepoint Financial, Inc. to Perigon Wealth Management, LLCleft Apr 29, 2022, registered Apr 27, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- First Allied Advisory Services, Inc. to Sagepoint Financial, Inc.left Jan 27, 2017, registered Jan 25, 2017 (-2 days) · Other · moved with a team
- First Allied Securities, Inc. to First Allied Advisory Services, Inc.left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- Sagepoint Financial, Inc. to First Allied Securities, Inc.left Feb 17, 2009, registered Feb 2, 2009 (-15 days) · Other
- American General Securities Incorporated to Sagepoint Financial, Inc.left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
Signals
- Richard Jeffrey Thomas left Sagepoint Financial, Inc. for Perigon Wealth Management, Llc (registered 2022-04-27)Apr 29, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address