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•• D•••• R•••

P•••••••• S••••••••• I•••BD affiliatedPhoenix, Azdual registrantIAPD 4491814

Feed of 09/14/2026

At current firm

2 y

since Nov 3, 2023

In the industry

25 y

since Nov 1, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••••• S••••••••• I••• BD affiliated current
since Nov 3, 2023 · Phoenix, Az
E•••••••• A•••••••• L•• national BD
Feb 2, 2022 to Mar 24, 2023 · Scottsdale, Az
A••••••• F•••••••• A•••••••• L•• BD affiliated
Nov 26, 2019 to Feb 3, 2022 · Glendale, Az
P•••••••• A••••••• national BD
Jul 19, 2011 to Nov 12, 2019 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

E•••••••• A•••••••• L•• to P•••••••• S••••••••• I•••
left Mar 24, 2023, registered Nov 3, 2023 (224 days) · Affiliated broker-dealer or bank to another
A••••••• F•••••••• A•••••••• L•• to E•••••••• A•••••••• L••
left Feb 3, 2022, registered Feb 2, 2022 (-1 days) · Affiliated broker-dealer or bank to another
P•••••••• A••••••• to A••••••• F•••••••• A•••••••• L••
left Nov 12, 2019, registered Nov 26, 2019 (14 days) · Affiliated broker-dealer or bank to another

Signals

T•• D•••• R••• left E•••••••• A•••••••• L•• for P•••••••• S••••••••• I••• (registered 2023-11-03)
Mar 24, 2023 · Advisor changed firm · fact
T•• D•••• R••• left A••••••• F•••••••• A•••••••• L•• for E•••••••• A•••••••• L•• (registered 2022-02-02)
Feb 3, 2022 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address