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
Norman Steven Thomson
Feed of 09/14/2026
At current firm
9 y
since Nov 30, 2016
In the industry
29 y
since May 8, 1997 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- Edelman Financial Engines independent RIA currentsince Nov 30, 2016 · Federal Way, Wa
- Financial Engines Advisor Center, LLC formerJan 23, 2014 to Nov 30, 2016 · Overland Park, Ks
- The Mutual Fund Store formerMay 23, 2008 to Feb 18, 2014 · Federal Way, Wa
- Signator Financial Services, Inc. formerDec 13, 2004 to Aug 8, 2007 · Bellevue, Wa
- Charles Schwab & Co., Inc. national BDMay 25, 1999 to Aug 6, 2004 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- Financial Engines Advisor Center, LLC to Edelman Financial Enginesleft Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
- The Mutual Fund Store to Financial Engines Advisor Center, LLCleft Feb 18, 2014, registered Jan 23, 2014 (-26 days) · Other
- Signator Financial Services, Inc. to The Mutual Fund Storeleft Aug 8, 2007, registered May 23, 2008 (289 days) · Other
- Charles Schwab & Co., Inc. to Signator Financial Services, Inc.left Aug 6, 2004, registered Dec 13, 2004 (129 days) · Other
Signals
No dated event on this person.
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address