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

L•••• A•••••• T••••

A••••••• W••••• A•••••••BD affiliatedNorth Haledon, Njdual registrantIAPD 4508379

Feed of 09/14/2026

Also filed as Lou T••••

At current firm

2 y

since Feb 28, 2024

In the industry

21 y

since Mar 12, 2005 (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

A••••••• W••••• A••••••• BD affiliated current
since Feb 28, 2024 · North Haledon, Nj
R••••• I••••••••• A•••••••• I•• BD affiliated
Jul 28, 2022 to Feb 28, 2024 · Wilmington, De
S••••••••• A•••••• A•••••••• I••• former
Jan 28, 2013 to Aug 2, 2022 · Fairfield, Nj
M•• I•••••••• S•••••••• L•• BD affiliated
May 28, 2009 to Jan 31, 2013 · Lodi, Nj

Moves

a registration end followed by a registration begin elsewhere

R••••• I••••••••• A•••••••• I•• to A••••••• W••••• A•••••••
left Feb 28, 2024, registered Feb 28, 2024 (0 days) · Affiliated broker-dealer or bank to another
S••••••••• A•••••• A•••••••• I••• to R••••• I••••••••• A•••••••• I••
left Aug 2, 2022, registered Jul 28, 2022 (-5 days) · Affiliated broker-dealer or bank to another
M•• I•••••••• S•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Jan 31, 2013, registered Jan 28, 2013 (-3 days) · Other

Signals

L•••• A•••••• T•••• left R••••• I••••••••• A•••••••• I•• for A••••••• W••••• A••••••• (registered 2024-02-28)
Feb 28, 2024 · Advisor changed firm · fact
L•••• A•••••• T•••• left S••••••••• A•••••• A•••••••• I••• for R••••• I••••••••• A•••••••• I•• (registered 2022-07-28)
Aug 2, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address