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

G••••••• T••••••••

W•••••• S••••••••• I•••BD affiliatedNew York, Ny dual registrantIAPD 6150921

Feed of 09/15/2026

Also filed as Luca T••••••••

At current firm

2 y

since Jan 2, 2024

In the industry

13 y

since Apr 1, 2013 (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•••••• S••••••••• I••• BD affiliated current
since Jan 2, 2024 · New York, Ny
C•••••• S••••• • C••• I••• national BD
Aug 24, 2021 to Apr 4, 2023 · Lone Tree, Co
T• A••••••••• I••••••••• M••••••••• L•• former
Aug 31, 2018 to Aug 22, 2019 · Southlake, Tx
T• A••••••••• I••• former
Aug 31, 2018 to Oct 20, 2021 · Southlake, Tx
P•• M•••••• A•••••• S••••••••• I••• former
May 21, 2018 to Aug 7, 2018 · Dallas, Tx
1•• G••••• A••••••• I•• former
Nov 22, 2017 to May 9, 2018 · Dallas, Tx
P•• M•••••• A•••••• S••••••••• I••• former
Jan 3, 2017 to Nov 22, 2017 · Jacksonville, Fl
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 19, 2016 to Nov 1, 2016 · Jacksonville, Fl

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to W•••••• S••••••••• I•••
left Apr 4, 2023, registered Jan 2, 2024 (273 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Oct 20, 2021, registered Aug 24, 2021 (-57 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Aug 22, 2019, registered Aug 31, 2018 (-356 days) · channel change inside one enterprise, not a move · moved with a team
P•• M•••••• A•••••• S••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 7, 2018, registered Aug 31, 2018 (24 days) · Affiliated broker-dealer or bank to independent RIA
1•• G••••• A••••••• I•• to P•• M•••••• A•••••• S••••••••• I•••
left May 9, 2018, registered May 21, 2018 (12 days) · Affiliated broker-dealer or bank to another
P•• M•••••• A•••••• S••••••••• I••• to 1•• G••••• A••••••• I••
left Nov 22, 2017, registered Nov 22, 2017 (0 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• M•••••• A•••••• S••••••••• I•••
left Nov 1, 2016, registered Jan 3, 2017 (63 days) · Other

Signals

G••••••• T•••••••• left C•••••• S••••• • C••• I••• for W•••••• S••••••••• I••• (registered 2024-01-02)
Apr 4, 2023 · 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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address