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.
Registered advisor
Thomas P Higgins
Feed of 09/14/2026
Also filed as Thomas P Higgins
At current firm
0 y
since Aug 6, 2026
In the industry
12 y
since Nov 19, 2013 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- RBC Capital Markets, LLC national BD currentsince Aug 6, 2026 · Dublin, Oh
- Advisors Asset Management, Inc. mixed wealthOct 19, 2020 to Aug 7, 2026 · Dublin, Oh
- Hennion & Walsh Asset Management, Inc. BD affiliatedMar 22, 2018 to Oct 23, 2020 · Parsippany, Nj
- Guggenheim Investments asset managerJun 23, 2017 to Jan 12, 2018 · Chicago, Il
- Nuveen Asset Management, LLC mixed wealthMay 3, 2016 to Jun 19, 2017 · Chicago, Il
- Morgan Stanley wirehouseNov 21, 2013 to Jul 7, 2014 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- Advisors Asset Management, Inc. to RBC Capital Markets, LLCleft Aug 7, 2026, registered Aug 6, 2026 (-1 days) · RIA to affiliated broker-dealer or bank
- Hennion & Walsh Asset Management, Inc. to Advisors Asset Management, Inc.left Oct 23, 2020, registered Oct 19, 2020 (-4 days) · Other
- Guggenheim Investments to Hennion & Walsh Asset Management, Inc.left Jan 12, 2018, registered Mar 22, 2018 (69 days) · Other
- Nuveen Asset Management, LLC to Guggenheim Investmentsleft Jun 19, 2017, registered Jun 23, 2017 (4 days) · Other
- Morgan Stanley to Nuveen Asset Management, LLCleft Jul 7, 2014, registered May 3, 2016 (666 days) · Other
Signals
- Thomas P Higgins left Advisors Asset Management, Inc. for Rbc Capital Markets, Llc (registered 2026-08-06)Aug 7, 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address