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

R••• T••••• L••••

W•••• F•••• A•••••••wirehouseBozeman, Mt dual registrantIAPD 4545544

Feed of 09/14/2026

Also filed as R••• L••••

At current firm

2 y

since Oct 30, 2023

In the industry

21 y

since Mar 17, 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

W•••• F•••• A••••••• wirehouse current
since Oct 30, 2023 · Hanover, Pa
C•••••• A••••••• BD affiliated
Feb 7, 2019 to Oct 30, 2023 · Armonk, Ny
L•••••• I••••••••• independent RIA
Feb 7, 2019 to Oct 30, 2023 · Armonk, Ny
M••••• S•••••• wirehouse
Jun 1, 2009 to Feb 6, 2019 · New York, Ny
M••••• S•••••• • C•• L•• unclassified
Mar 29, 2006 to Jun 1, 2009 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• to L•••••• I•••••••••
left Oct 30, 2023, registered Feb 7, 2019 (-1726 days) · Affiliated broker-dealer or bank to another
L•••••• I••••••••• to W•••• F•••• A•••••••
left Oct 30, 2023, registered Oct 30, 2023 (0 days) · RIA to wirehouse
M••••• S•••••• to C•••••• A•••••••
left Feb 6, 2019, registered Feb 7, 2019 (1 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

R••• T••••• L•••• left L•••••• I••••••••• for W•••• F•••• A••••••• (registered 2023-10-30)
Oct 30, 2023 · Advisor changed firm · fact
R••• T••••• L•••• left C•••••• A••••••• for L•••••• I••••••••• (registered 2019-02-07)
Oct 30, 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: Wirehousederived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address