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.
Feed of 09/14/2026
At current firm
12 y
since Jul 17, 2014
In the industry
20 y
since Sep 18, 2006 (earliest exam, job or registration)
Prior registered firms
2
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
- Morgan Stanley wirehouse currentsince Jul 17, 2014 · Davenport, Ia
- First Trust Advisors LP asset managerJun 4, 2012 to Apr 1, 2014 · Wheaton, Il
- Guggenheim Investments asset managerSep 18, 2006 to Nov 4, 2008 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- First Trust Advisors LP to Morgan Stanleyleft Apr 1, 2014, registered Jul 17, 2014 (107 days) · Other
- Guggenheim Investments to First Trust Advisors LPleft Nov 4, 2008, registered Jun 4, 2012 (1308 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address