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.

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Registered advisor

T••••• J••••• R••••••

S•••••••• A••••••• L••national BDGarden City, Ny dual registrantIAPD 2599296

Feed of 09/14/2026

Also filed as Thomas J Raleigh

At current firm

1 y

since Mar 31, 2025

In the industry

26 y

since Mar 2, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Garden City, Ny
F••••••• P••••••• A•• W•••••••• A••••••• former
May 14, 2024 to Mar 31, 2025 · Garden City, Ny
J••• M••••• S••••••••• L•• wirehouse
Sep 7, 2023 to Apr 17, 2024 · Garden City, Ny
E•••••• C•••••• M••••••••• L•• former
Nov 24, 2021 to Aug 18, 2023 · Arlington, Va
C•••••• S••••• • C••• I••• national BD
Oct 12, 2016 to Jan 7, 2022 · New York City, Ny
M•• F•••••••• S•••••••• I••• former
Nov 7, 2012 to Sep 22, 2016 · New York, Ny
A••••• A•• P••••••• S••••••• BD affiliated
Sep 5, 2006 to Oct 8, 2012 · New York, Ny
C•••••• O•• F•••••••• A••••••• L•• unclassified
Oct 17, 2005 to Oct 31, 2005 · Melville, Ny

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 17, 2024, registered May 14, 2024 (27 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to J••• M••••• S••••••••• L••
left Aug 18, 2023, registered Sep 7, 2023 (20 days) · RIA to wirehouse
C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••
left Jan 7, 2022, registered Nov 24, 2021 (-44 days) · Affiliated broker-dealer or bank to independent RIA
M•• F•••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••
left Sep 22, 2016, registered Oct 12, 2016 (20 days) · Other
A••••• A•• P••••••• S••••••• to M•• F•••••••• S•••••••• I•••
left Oct 8, 2012, registered Nov 7, 2012 (30 days) · Other
C•••••• O•• F•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••
left Oct 31, 2005, registered Sep 5, 2006 (309 days) · Other

Signals

T••••• J••••• R•••••• left J••• M••••• S••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-05-14)
Apr 17, 2024 · Advisor changed firm · fact
T••••• J••••• R•••••• left E•••••• C•••••• M••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-09-07)
Aug 18, 2023 · Advisor changed firm · fact
T••••• J••••• R•••••• left C•••••• S••••• • C••• I••• for E•••••• C•••••• M••••••••• L•• (registered 2021-11-24)
Jan 7, 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: National broker-dealer RIAderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address