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••••• B•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedWinter Park, Fldual registrantIAPD 2717978

Feed of 09/14/2026

Also filed as Tracie Louise Graham

At current firm

2 y

since Apr 5, 2024

In the industry

30 y

since Mar 8, 1996 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Apr 5, 2024 · Winter Park, Fl
C••••••••• I••••••••• A•••••••• L•• independent RIA
Feb 1, 2023 to Mar 19, 2024 · Tampa, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 25, 2021 to Jan 9, 2023 · Tampa, Fl
W•••• F•••• A••••••• wirehouse
Jan 1, 2008 to Jul 29, 2021 · Lynnwood, Wa
A• G• E•••••• • S•••• I••• unclassified
Jul 28, 2005 to Jan 1, 2008 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

C••••••••• I••••••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Mar 19, 2024, registered Apr 5, 2024 (17 days) · RIA to affiliated broker-dealer or bank
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• I••••••••• A•••••••• L••
left Jan 9, 2023, registered Feb 1, 2023 (23 days) · Affiliated broker-dealer or bank to a newly registered adviser
W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 29, 2021, registered Aug 25, 2021 (27 days) · Wirehouse to affiliated broker-dealer or bank
A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move

Signals

T••••• L••••• B••••• left C••••••••• I••••••••• A•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-04-05)
Mar 19, 2024 · Advisor changed firm · fact
T••••• L••••• B••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••••••• I••••••••• A•••••••• L•• (registered 2023-02-01)
Jan 9, 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: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address