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
Thomas A Knott
Feed of 09/14/2026
Also filed as Andy Knott
At current firm
1 y
since Jan 23, 2025
In the industry
25 y
since Feb 1, 2001 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 23, 2025 · Winnetka, Il
- Great Lakes Advisors, LLC otherSep 30, 2011 to Apr 10, 2018 · Chicago, Il
- Wintrust Investments formerSep 30, 2011 to Jan 23, 2025 · Wilmette, Il
- Morgan Stanley wirehouseJun 1, 2009 to Oct 13, 2011 · Winnetka, Il
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to Jun 1, 2009 · Winnetka, Il
- Morgan Stanley Dw Inc. unclassifiedApr 17, 2002 to Apr 2, 2007 · Winnetka, Il
Moves
a registration end followed by a registration begin elsewhere
- Wintrust Investments to LPL Financial LLCleft Jan 23, 2025, registered Jan 23, 2025 (0 days) · corporate re-registration, not a move
- Great Lakes Advisors, LLC to Wintrust Investmentsleft Apr 10, 2018, registered Sep 30, 2011 (-2384 days) · channel change inside one enterprise, not a move · moved with a team
- Morgan Stanley to Great Lakes Advisors, LLCleft Oct 13, 2011, registered Sep 30, 2011 (-13 days) · Other
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address