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•••• R••••• F••••••

N••••••••• A•••• M••••••••• L••independent RIASt. Charles, IlIA-onlyIAPD 3114189

Certified Financial Planner

Feed of 09/14/2026

Also filed as T•••• F••••••

At current firm

2 y

since Jun 3, 2024

In the industry

27 y

since Jan 15, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N••••••••• A•••• M••••••••• L•• independent RIA current
since Jun 3, 2024 · St. Charles, Il
N••••••••• A•••• M••••••••• L•• independent RIA
Jun 3, 2024 to Dec 31, 2024 · Stamford, Ct
C•••••••• W••••• former
Mar 21, 2023 to Jul 25, 2024 · Greenwich, Ct
C•••••• S••••• • C••• I••• national BD
Apr 9, 2010 to Mar 14, 2023 · Naperville, Il
S•••••••• A••••••• L•• national BD
Nov 26, 2008 to Mar 22, 2010 · American Fork, Ut
C••••• A•••••• N••••••• L•• former
May 16, 2002 to Dec 31, 2002 · Kaysville, Ut

Moves

a registration end followed by a registration begin elsewhere

C•••••••• W••••• to N••••••••• A•••• M••••••••• L••
left Jul 25, 2024, registered Jun 3, 2024 (-52 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to C•••••••• W•••••
left Mar 14, 2023, registered Mar 21, 2023 (7 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Mar 22, 2010, registered Apr 9, 2010 (18 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to S•••••••• A••••••• L••
left Dec 31, 2002, registered Nov 26, 2008 (2157 days) · Other

Signals

T•••• R••••• F•••••• left C•••••• S••••• • C••• I••• for C•••••••• W••••• (registered 2023-03-21)
Mar 14, 2023 · a•••••• firm change · 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address