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

E•••••• O••• T••••••

U•• F•••••••• S••••••• I•••wirehouseWeehawken, Nj dual registrantIAPD 2740216

Feed of 09/14/2026

Also filed as Rick T••••••

At current firm

3 y

since Oct 25, 2022

In the industry

29 y

since Jul 17, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U•• F•••••••• S••••••• I••• wirehouse current
since Oct 25, 2022 · Weehawken, Nj
M••••• S•••••• wirehouse
Apr 18, 2016 to Jul 11, 2022 · Miami, Fl
O••••••••• A•••• M••••••••• BD affiliated
Apr 23, 2003 to Oct 31, 2007 · Miami, Fl
O••••••••• • C•• I••• BD affiliated
Jan 3, 2003 to May 2, 2016 · Coral Gables, Fl
C••• W•••• M•••••• C•••• unclassified
Dec 4, 2002 to Jan 3, 2003 · Miami, Fl
S••••••• G•••• C•••••• unclassified
Jun 28, 2000 to Nov 18, 2002 · Miami, Fl

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Jul 11, 2022, registered Oct 25, 2022 (106 days) · Wirehouse to wirehouse
O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••
left May 2, 2016, registered Apr 23, 2003 (-4758 days) · Other
O••••••••• A•••• M••••••••• to M••••• S••••••
left Oct 31, 2007, registered Apr 18, 2016 (3092 days) · Other
C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••
left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move
S••••••• G•••• C•••••• to C••• W•••• M•••••• C••••
left Nov 18, 2002, registered Dec 4, 2002 (16 days) · Other

Signals

E•••••• O••• T•••••• left M••••• S•••••• for U•• F•••••••• S••••••• I••• (registered 2022-10-25)
Jul 11, 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: Wirehousederived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address