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

C••••• J• T•••••

W•••• F•••• A•••••••wirehouseNew York, Nydual registrantIAPD 5680521

Feed of 09/14/2026

Also filed as James T•••••

At current firm

0 y

since May 1, 2026

In the industry

16 y

since Dec 23, 2009 (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

W•••• F•••• A••••••• wirehouse current
since May 1, 2026 · New York, Ny
M••••• S•••••• wirehouse
Nov 6, 2020 to May 29, 2026 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 11, 2011 to Nov 9, 2020 · Freehold, Nj
H•••••• • W•••• A•••• M••••••••• I••• BD affiliated
Dec 21, 2010 to Jan 31, 2011 · Parsippany, Nj

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to W•••• F•••• A•••••••
left May 29, 2026, registered May 1, 2026 (-28 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Nov 9, 2020, registered Nov 6, 2020 (-3 days) · Wirehouse to wirehouse · moved with a team
H•••••• • W•••• A•••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 31, 2011, registered May 11, 2011 (100 days) · Other

Signals

C••••• J• T••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2026-05-01)
May 29, 2026 · 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: Wirehousederived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address