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•••• S••••••• H••••••

C••••••• S••••••••• I•••BD affiliatedLincoln, Nh dual registrantIAPD 4462482

Feed of 09/15/2026

Also filed as T•••• Ann S•••••••

At current firm

16 y

since Jun 28, 2010

In the industry

23 y

since Oct 23, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• S••••••••• I••• BD affiliated current
since Jun 28, 2010 · Laconia, Nh
L•• F•••••••• L•• BD affiliated
May 27, 2008 to Jun 28, 2010 · Merrimack, Nh
I••• S••••••••• I••• unclassified
Jan 18, 2005 to May 27, 2008 · Seabrook, Nh
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Dec 6, 2004 · Salem, Nh
Q•••• • R•••••• I••• unclassified
Oct 28, 2002 to Oct 20, 2004 · Concord, Nh

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••••• S••••••••• I•••
left Jun 28, 2010, registered Jun 28, 2010 (0 days) · Other
I••• S••••••••• I••• to L•• F•••••••• L••
left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
B••• O• A•••••• I••••••••• S•••••••• I••• to I••• S••••••••• I•••
left Dec 6, 2004, registered Jan 18, 2005 (43 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address