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••••• H••••• F••••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedStamford, Ct dual registrantIAPD 3162838

Certified Financial Planner

Feed of 09/15/2026

Also filed as Tom Ferrell

At current firm

2 y

since Apr 2, 2024

In the industry

27 y

since Dec 28, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Apr 2, 2024 · Jasper, Al
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Jan 19, 2023 to Feb 20, 2023 · Jasper, Al
C••••••• • C••• I••• former
Jun 19, 2017 to Feb 14, 2023 · Jasper, Al
S••••••••• S••••••••• L•• unclassified
Sep 1, 1999 to Dec 13, 2004 · Birmingham, Al

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Feb 20, 2023, registered Apr 2, 2024 (407 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Feb 14, 2023, registered Jan 19, 2023 (-26 days) · Affiliated broker-dealer or bank to another · moved with a team
S••••••••• S••••••••• L•• to C••••••• • C••• I•••
left Dec 13, 2004, registered Jun 19, 2017 (4571 days) · Other

Signals

T••••• H••••• F•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2024-04-02)
Feb 20, 2023 · Advisor changed firm · fact
T••••• H••••• F•••••• left C••••••• • C••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2023-01-19)
Feb 14, 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: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address