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.

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Registered advisor

T•••••• R••• B••••

R•••• W•••••state registeredScottsdale, AzIA-onlyIAPD 4826178

Feed of 09/14/2026

At current firm

2 y

since Oct 27, 2023

In the industry

22 y

since Jul 30, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••• W••••• state registered current
since Oct 27, 2023 · Scottsdale, Az
T•• B•••• G•••• W••••• M••••••••• unclassified
Nov 23, 2015 to Aug 19, 2025 · Scottsdale, Az
C••••• A••••••• L•• former
Apr 14, 2014 to Apr 29, 2016 · Greenwood Village, Co
W•••••• • R••• former
May 1, 2013 to Apr 11, 2014 · Seattle, Wa
S•••••••• A••••••• L•• national BD
May 8, 2009 to Apr 18, 2013 · Seattle, Wa
S•••••••• A••••••• L•• national BD
Apr 13, 2007 to Feb 17, 2009 · Seattle, Wa
C•••••• O•• A•••••••• L•• former
Oct 31, 2006 to Feb 27, 2007 · Mclean, Va
A••••••••• F•••••••• S•••••••• L•• national BD
Nov 2, 2004 to Oct 26, 2006 · Vancouver, Wa

Moves

a registration end followed by a registration begin elsewhere

T•• B•••• G•••• W••••• M••••••••• to R•••• W•••••
left Aug 19, 2025, registered Oct 27, 2023 (-662 days) · Other
C••••• A••••••• L•• to T•• B•••• G•••• W••••• M•••••••••
left Apr 29, 2016, registered Nov 23, 2015 (-158 days) · Other
W•••••• • R••• to C••••• A••••••• L••
left Apr 11, 2014, registered Apr 14, 2014 (3 days) · Other
S•••••••• A••••••• L•• to W•••••• • R•••
left Apr 18, 2013, registered May 1, 2013 (13 days) · Other
C•••••• O•• A•••••••• L•• to S•••••••• A••••••• L••
left Feb 27, 2007, registered Apr 13, 2007 (45 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C•••••• O•• A•••••••• L••
left Oct 26, 2006, registered Oct 31, 2006 (5 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

T•••••• R••• B•••• left T•• B•••• G•••• W••••• M••••••••• for R•••• W••••• (registered 2023-10-27)
Aug 19, 2025 · 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: STATE REGISTEREDderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address