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

T••••• R•••••• C••••••

P•••••• A•••••• G••••• L••BD affiliatedMorristown, Nj dual registrantIAPD 4899717

Feed of 09/14/2026

Also filed as Tom C••••••

At current firm

0 y

since Jun 26, 2026

In the industry

20 y

since Jan 1, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

P•••••• A•••••• G••••• L•• BD affiliated current
since Jun 26, 2026 · Oakland, Ca
M•••••• A•••••• N•••••• BD affiliated
Nov 18, 2024 to Jun 26, 2026 · Oakland, Ca
C••••••• P•••••••• I••• independent RIA
Jan 26, 2024 to Oct 21, 2024 · Oakland, Ca
M•••••• A•••••• N•••••• BD affiliated
Jan 11, 2017 to Jan 16, 2024 · San Mateo, Ca
L•• F•••••••• L•• BD affiliated
Apr 21, 2008 to Apr 26, 2017 · Sacramento, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••
left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
C••••••• P•••••••• I••• to M•••••• A•••••• N••••••
left Oct 21, 2024, registered Nov 18, 2024 (28 days) · RIA to affiliated broker-dealer or bank
M•••••• A•••••• N•••••• to C••••••• P•••••••• I•••
left Jan 16, 2024, registered Jan 26, 2024 (10 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to M•••••• A•••••• N••••••
left Apr 26, 2017, registered Jan 11, 2017 (-105 days) · Other · moved with a team

Signals

T••••• R•••••• C•••••• left C••••••• P•••••••• I••• for M•••••• A•••••• N•••••• (registered 2024-11-18)
Oct 21, 2024 · a•••••• firm change · fact
T••••• R•••••• C•••••• left M•••••• A•••••• N•••••• for C••••••• P•••••••• I••• (registered 2024-01-26)
Jan 16, 2024 · a•••••• firm change · 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address