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
5 y
since Oct 4, 2020
In the industry
17 y
since Nov 28, 2008 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- Hightower Advisors, LLC BD affiliated currentsince Oct 4, 2020 · Dallas, Tx
- Frontier Investment Management Co formerMar 8, 2017 to Nov 16, 2020 · Omaha, Ne
- Steele Capital Management, Inc. independent RIAJan 21, 2016 to Jan 5, 2017 · Omaha, Ne
- Td Ameritrade Investment Management, LLC formerJun 8, 2012 to Jan 20, 2016 · Omaha, Ne
- Td Ameritrade, Inc. formerJun 8, 2012 to Jan 20, 2016 · Omaha, Ne
- Charles Schwab & Co., Inc. national BDNov 12, 2009 to May 29, 2012 · Englewood, Co
- Thrivent Investment Management Inc. BD affiliatedAug 4, 2009 to Nov 13, 2009 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- Frontier Investment Management Co to Hightower Advisors, LLCleft Nov 16, 2020, registered Oct 4, 2020 (-43 days) · corporate re-registration, not a move
- Steele Capital Management, Inc. to Frontier Investment Management Coleft Jan 5, 2017, registered Mar 8, 2017 (62 days) · Other
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Jan 20, 2016, registered Jun 8, 2012 (-1321 days) · channel change inside one enterprise, not a move · moved with a team
- Td Ameritrade Investment Management, LLC to Steele Capital Management, Inc.left Jan 20, 2016, registered Jan 21, 2016 (1 days) · Other
- Charles Schwab & Co., Inc. to Td Ameritrade, Inc.left May 29, 2012, registered Jun 8, 2012 (10 days) · Affiliated broker-dealer or bank to a newly registered adviser
- Thrivent Investment Management Inc. to Charles Schwab & Co., Inc.left Nov 13, 2009, registered Nov 12, 2009 (-1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address