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••••• E••••• D•••••

L•• E••••••••• L••BD affiliatedWhite Plains, Nydual registrantIAPD 5979364

Feed of 09/14/2026

Also filed as Thomas E Dooney

At current firm

0 y

since Apr 27, 2026

In the industry

15 y

since May 1, 2011 (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•• E••••••••• L•• BD affiliated current
since Apr 27, 2026 · White Plains, Ny
O••••••••• • C•• I••• BD affiliated
Aug 9, 2024 to Jun 27, 2025 · Jericho, Ny
H•••••• T••••••• • K•••• L•• independent RIA
Mar 25, 2021 to Aug 9, 2024 · Uniondale, Ny
E•••••••• A•••••••• L•• national BD
May 30, 2018 to Jan 12, 2021 · Melville, Ny
M••••• S•••••• wirehouse
Dec 24, 2015 to Dec 5, 2017 · Jericho, Ny

Moves

a registration end followed by a registration begin elsewhere

O••••••••• • C•• I••• to L•• E••••••••• L••
left Jun 27, 2025, registered Apr 27, 2026 (304 days) · Affiliated broker-dealer or bank to another
H•••••• T••••••• • K•••• L•• to O••••••••• • C•• I•••
left Aug 9, 2024, registered Aug 9, 2024 (0 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••
left Jan 12, 2021, registered Mar 25, 2021 (72 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to E•••••••• A•••••••• L••
left Dec 5, 2017, registered May 30, 2018 (176 days) · Wirehouse to affiliated broker-dealer or bank

Signals

T••••• E••••• D••••• left O••••••••• • C•• I••• for L•• E••••••••• L•• (registered 2026-04-27)
Jun 27, 2025 · Advisor changed firm · fact
T••••• E••••• D••••• left H•••••• T••••••• • K•••• L•• for O••••••••• • C•• I••• (registered 2024-08-09)
Aug 9, 2024 · 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: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address