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

T••• R••••• S••••••••

L•• F•••••••• L••BD affiliatedCarson City, Nv dual registrantIAPD 5626798

Feed of 09/15/2026

At current firm

1 y

since Mar 31, 2025

In the industry

16 y

since Jun 29, 2010 (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

L•• F•••••••• L•• BD affiliated current
since Mar 31, 2025 · Carson City, Nv
U••• B•••••• I••••••••• I••• former
Aug 12, 2022 to Feb 21, 2025 · Carson City, Nv
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 3, 2019 to Jun 27, 2022 · Reno, Nv
T• A••••••••• I••• former
Mar 8, 2018 to Oct 15, 2019 · Reno, Nv
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Oct 15, 2019 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Feb 3, 2017 to Feb 26, 2018 · Saint Louis, Mo
B••••••• I••••••••• S•••••••• I••• ••••• former
Aug 12, 2010 to May 26, 2016 · Sparks, Nv

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to L•• F•••••••• L••
left Feb 21, 2025, registered Mar 31, 2025 (38 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••
left Jun 27, 2022, registered Aug 12, 2022 (46 days) · Wirehouse to affiliated broker-dealer or bank
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Oct 15, 2019, registered Mar 8, 2018 (-586 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 15, 2019, registered Nov 3, 2019 (19 days) · Other
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
B••••••• I••••••••• S•••••••• I••• ••••• to S•••••••• I••••••••• M•••••••••
left May 26, 2016, registered Feb 3, 2017 (253 days) · Other

Signals

T••• R••••• S•••••••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2025-03-31)
Feb 21, 2025 · Advisor changed firm · fact
T••• R••••• S•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for U••• B•••••• I••••••••• I••• (registered 2022-08-12)
Jun 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address