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
Thomas Dean Ming
Feed of 09/14/2026
Also filed as Thomas Dean Ming
At current firm
11 y
since Jul 1, 2015
In the industry
19 y
since Oct 13, 2006 (earliest exam, job or registration)
Prior registered firms
3
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
- World Investment Advisors, LLC other currentsince Jul 1, 2015 · Bakersfield, Ca
- Independent Financial Partners BD affiliatedJan 21, 2014 to Jun 23, 2015 · Bakersfield, Ca
- Tower Rock Advisors, Inc. unclassifiedAug 28, 2007 to Jun 8, 2014 · Bakersfield, Ca
- Osaic Wealth, Inc. BD affiliatedDec 15, 2006 to Sep 6, 2007 · Woodland Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- Independent Financial Partners to World Investment Advisors, LLCleft Jun 23, 2015, registered Jul 1, 2015 (8 days) · Other · moved with a team
- Tower Rock Advisors, Inc. to Independent Financial Partnersleft Jun 8, 2014, registered Jan 21, 2014 (-138 days) · Other
- Osaic Wealth, Inc. to Tower Rock Advisors, Inc.left Sep 6, 2007, registered Aug 28, 2007 (-9 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
- Other adviserderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address