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•••••• M• R••••••

M••••• S••••••wirehousePurchase, Ny dual registrantIAPD 4923421

Feed of 09/14/2026

Also filed as Theresa Mary Roberts

At current firm

3 y

since Apr 17, 2023

In the industry

21 y

since Jul 18, 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

M••••• S•••••• wirehouse current
since Apr 17, 2023 · Purchase, Ny
A••••• A•• P••••••• S••••••• BD affiliated
Mar 2, 2020 to Mar 24, 2023 · Charlotte, Nc
B••• S••••••••• L•• former
Apr 2, 2019 to Feb 28, 2020 · Ft Lauderdale, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 9, 2015 to Mar 26, 2019 · Sacramento, Ca
W•••• F•••• A••••••• wirehouse
Mar 1, 2013 to Oct 2, 2015 · Sacramento, Ca
B••••••• I••••••••• S•••••••• I••• ••••• former
Jul 13, 2011 to Feb 21, 2013 · Sacramento, Ca
C••••••• O•••• F•••••••• S••••••• G•••• L•• independent RIA
Jul 28, 2010 to Jul 15, 2011 · Davis, Ca
S••••••••• A•••••• A•••••••• I••• former
Jan 23, 2009 to Feb 1, 2010 · Lavista, Ne
B••••• • Y•••• A•••••••• I••• former
Sep 27, 2007 to Jan 23, 2009 · Folsom, Ca

Moves

a registration end followed by a registration begin elsewhere

A••••• A•• P••••••• S••••••• to M••••• S••••••
left Mar 24, 2023, registered Apr 17, 2023 (24 days) · Affiliated broker-dealer or bank to wirehouse
B••• S••••••••• L•• to A••••• A•• P••••••• S•••••••
left Feb 28, 2020, registered Mar 2, 2020 (3 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• S••••••••• L••
left Mar 26, 2019, registered Apr 2, 2019 (7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 2, 2015, registered Oct 9, 2015 (7 days) · Wirehouse to wirehouse · moved with a team
B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• A•••••••
left Feb 21, 2013, registered Mar 1, 2013 (8 days) · Other
C••••••• O•••• F•••••••• S••••••• G•••• L•• to B••••••• I••••••••• S•••••••• I••• •••••
left Jul 15, 2011, registered Jul 13, 2011 (-2 days) · Other
S••••••••• A•••••• A•••••••• I••• to C••••••• O•••• F•••••••• S••••••• G•••• L••
left Feb 1, 2010, registered Jul 28, 2010 (177 days) · Other
B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Jan 23, 2009, registered Jan 23, 2009 (0 days) · corporate re-registration, not a move

Signals

T•••••• M• R•••••• left A••••• A•• P••••••• S••••••• for M••••• S•••••• (registered 2023-04-17)
Mar 24, 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