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

S••• T••••••

C•••••• S••••• • C••• I•••national BDLone Tree, Co dual registrantIAPD 4983086

Feed of 09/15/2026

Also filed as S••• Andrew T••••••

At current firm

5 y

since Aug 17, 2021

In the industry

18 y

since Nov 8, 2007 (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

C•••••• S••••• • C••• I••• national BD current
since Aug 17, 2021 · Lone Tree, Co
T• A••••••••• I••• former
Oct 10, 2013 to Oct 14, 2022 · Jersey City, Nj
T• A••••••••• I••••••••• M••••••••• L•• former
Sep 26, 2013 to Dec 10, 2018 · Jersey City, Nj
B•••••••• F••• A••••••• asset manager
Feb 8, 2008 to Dec 13, 2011 · Jersey City, Nj
U•• F•••••••• S••••••• I••• wirehouse
Nov 12, 2007 to Jan 29, 2008 · Weehawken, Nj

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Oct 14, 2022, registered Aug 17, 2021 (-423 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 10, 2018, registered Oct 10, 2013 (-1887 days) · corporate re-registration, not a move
B•••••••• F••• A••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 13, 2011, registered Sep 26, 2013 (653 days) · Other
U•• F•••••••• S••••••• I••• to B•••••••• F••• A•••••••
left Jan 29, 2008, registered Feb 8, 2008 (10 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address