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
Timothy Patick Rafferty
Feed of 09/14/2026
Also filed as Timothy Rafferty
At current firm
7 y
since Feb 15, 2019
In the industry
22 y
since Aug 2, 2004 (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
- Raymond James & Associates, Inc. national BD currentsince Feb 15, 2019 · Little Rock, Ar
- Metropolitan Capital Management, Inc. formerDec 17, 2014 to Sep 2, 2015 · Little Rock, Ar
- Simmons First Investment Group, Inc. formerApr 27, 2009 to Feb 19, 2019 · Little Rock, Ar
- Morgan Stanley & Co. LLC unclassifiedApr 2, 2007 to Apr 13, 2009 · Little Rock, Ar
- Morgan Stanley Dw Inc. unclassifiedFeb 9, 2007 to Apr 2, 2007 · Little Rock, Ar
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseAug 3, 2004 to Nov 21, 2006 · Little Rock, Ar
Moves
a registration end followed by a registration begin elsewhere
- Simmons First Investment Group, Inc. to Metropolitan Capital Management, Inc.left Feb 19, 2019, registered Dec 17, 2014 (-1525 days) · Other
- Metropolitan Capital Management, Inc. to Raymond James & Associates, Inc.left Sep 2, 2015, registered Feb 15, 2019 (1262 days) · Other · moved with a team
- Morgan Stanley & Co. LLC to Simmons First Investment Group, Inc.left Apr 13, 2009, registered Apr 27, 2009 (14 days) · Other
- Morgan Stanley Dw Inc. to Morgan Stanley & Co. LLCleft Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley Dw Inc.left Nov 21, 2006, registered Feb 9, 2007 (80 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address