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
Also filed as Tom Kowalczyk
At current firm
1 y
since Feb 12, 2025
In the industry
17 y
since Jan 21, 2009 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Steadtrust independent RIA currentsince Feb 12, 2025 · Allen, Tx
- B. Riley Wealth Private Shares asset managerSep 8, 2021 to Jan 17, 2025 · Dallas, Tx
- B. Riley Wealth Advisors, Inc. BD affiliatedJul 17, 2017 to Jan 17, 2025 · Dallas, Tx
- Wfg Advisors, LP formerMar 31, 2014 to Jul 17, 2017 · Dallas, Tx
- Signator Investors, Inc. formerNov 22, 2013 to Feb 18, 2014 · Boston, Ma
- Signator Financial Services, Inc. formerFeb 5, 2009 to Feb 18, 2014 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- B. Riley Wealth Advisors, Inc. to B. Riley Wealth Private Sharesleft Jan 17, 2025, registered Sep 8, 2021 (-1227 days) · Other
- B. Riley Wealth Private Shares to Steadtrustleft Jan 17, 2025, registered Feb 12, 2025 (26 days) · Other
- Wfg Advisors, LP to B. Riley Wealth Advisors, Inc.left Jul 17, 2017, registered Jul 17, 2017 (0 days) · Other · moved with a team
- Signator Financial Services, Inc. to Signator Investors, Inc.left Feb 18, 2014, registered Nov 22, 2013 (-88 days) · channel change inside one enterprise, not a move
- Signator Investors, Inc. to Wfg Advisors, LPleft Feb 18, 2014, registered Mar 31, 2014 (41 days) · Other
Signals
- Thomas David Kowalczyk left B. Riley Wealth Private Shares for Steadtrust (registered 2025-02-12)Jan 17, 2025 · Advisor changed firm · fact
- Thomas David Kowalczyk left B. Riley Wealth Advisors, Inc. for B. Riley Wealth Private Shares (registered 2021-09-08)Jan 17, 2025 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address