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

J•••• T••••• R••••••

A•••••• W••••• M••••••••• L••independent RIAMount Pleasant, Sc IA-onlyIAPD 3214810

Certified Financial Planner

Feed of 09/14/2026

Also filed as J•••• T R••••••

At current firm

2 y

since Sep 22, 2023

In the industry

26 y

since Dec 9, 1999 (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

A•••••• W••••• M••••••••• L•• independent RIA current
since Sep 22, 2023 · Mount Pleasant, Sc
U••••• C•••••• F•••••••• A••••••• independent RIA
Jan 23, 2015 to Oct 27, 2023 · Denver, Co
C•••••• I••••••••• C•••••• I•• former
Mar 26, 2004 to Jan 23, 2015 · Denver, Co
C•••••• S••••• • C••• I••• national BD
Apr 25, 2001 to Jan 30, 2004 · Boulder, Co

Moves

a registration end followed by a registration begin elsewhere

U••••• C•••••• F•••••••• A••••••• to A•••••• W••••• M••••••••• L••
left Oct 27, 2023, registered Sep 22, 2023 (-35 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• I••••••••• C•••••• I•• to U••••• C•••••• F•••••••• A•••••••
left Jan 23, 2015, registered Jan 23, 2015 (0 days) · Other · moved with a team
C•••••• S••••• • C••• I••• to C•••••• I••••••••• C•••••• I••
left Jan 30, 2004, registered Mar 26, 2004 (56 days) · Other

Signals

J•••• T••••• R•••••• left U••••• C•••••• F•••••••• A••••••• for A•••••• W••••• M••••••••• L•• (registered 2023-09-22)
Oct 27, 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: Independent wealth managerderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address