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.

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Registered advisor

T•••••• H••••• O•••••

C••••• • A••••••••• I•••independent RIAFallston, Md dual registrantIAPD 5392746

Feed of 09/14/2026

At current firm

1 y

since Nov 6, 2024

In the industry

18 y

since Apr 1, 2008 (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••••• • A••••••••• I••• independent RIA current
since Nov 6, 2024 · Tampa, Fl
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 21, 2014 to Oct 17, 2024 · Westminster, Md
C••••• I••••••••• S••••••• L•• former
Apr 14, 2008 to Jan 21, 2014 · Westminster, Md
A••••••••• F•••••••• S•••••••• L•• national BD
Apr 14, 2008 to Aug 18, 2008 · O••••• Mills, Md

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to C••••• • A••••••••• I•••
left Oct 17, 2024, registered Nov 6, 2024 (20 days) · Affiliated broker-dealer or bank to independent RIA
C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• S••••••• L••
left Aug 18, 2008, registered Apr 14, 2008 (-126 days) · Other

Signals

T•••••• H••••• O••••• left C••••• I••••••••• A••••••• L•• for C••••• • A••••••••• I••• (registered 2024-11-06)
Oct 17, 2024 · 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: Independent wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address