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

J••••• T••••• R••••

N•• E••• W•••••BD affiliatedStamford, Ct dual registrantIAPD 5100310

Certified Financial Planner

Feed of 09/15/2026

Also filed as J••••• T••••• R••••

At current firm

4 y

since Sep 16, 2022

In the industry

20 y

since Apr 28, 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

N•• E••• W••••• BD affiliated current
since Sep 16, 2022 · Stamford, Ct
U•• F•••••••• S••••••• I••• wirehouse
Nov 26, 2012 to Sep 27, 2022 · Beverly Hills, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Nov 19, 2012 · Santa Monica, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Apr 17, 2008 to Oct 23, 2009 · Los Angeles, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
May 1, 2006 to Apr 23, 2008 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to N•• E••• W•••••
left Sep 27, 2022, registered Sep 16, 2022 (-11 days) · Wirehouse to independent RIA · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Nov 19, 2012, registered Nov 26, 2012 (7 days) · Wirehouse to wirehouse
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Apr 23, 2008, registered Apr 17, 2008 (-6 days) · Other

Signals

J••••• T••••• R•••• left U•• F•••••••• S••••••• I••• for N•• E••• W••••• (registered 2022-09-16)
Sep 27, 2022 · 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: 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