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

T•••• L••••••

N•••••• A•••••••BD affiliatedNew Orleans, La dual registrantIAPD 6613381

Feed of 09/15/2026

Also filed as T•••• L••••••

At current firm

1 y

since Oct 2, 2024

In the industry

10 y

since May 19, 2016 (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

N•••••• A••••••• BD affiliated current
since Oct 2, 2024 · New Orleans, La
C•••••••• F•••••••• G•••• A••••••• former
Jan 13, 2022 to Oct 16, 2024 · Bismarck, Nd
N•••••• A••••••• BD affiliated
Jan 2, 2019 to Jan 4, 2022 · Bismarck, Nd
C••••••• A•••• M••••••••• L•• BD affiliated
Jul 9, 2016 to Sep 25, 2018 · Williston, Nd

Moves

a registration end followed by a registration begin elsewhere

C•••••••• F•••••••• G•••• A••••••• to N•••••• A•••••••
left Oct 16, 2024, registered Oct 2, 2024 (-14 days) · Affiliated broker-dealer or bank to another · moved with a team
N•••••• A••••••• to C•••••••• F•••••••• G•••• A•••••••
left Jan 4, 2022, registered Jan 13, 2022 (9 days) · Affiliated broker-dealer or bank to another
C••••••• A•••• M••••••••• L•• to N•••••• A•••••••
left Sep 25, 2018, registered Jan 2, 2019 (99 days) · Affiliated broker-dealer or bank to independent RIA

Signals

T•••• L•••••• left C•••••••• F•••••••• G•••• A••••••• for N•••••• A••••••• (registered 2024-10-02)
Oct 16, 2024 · Advisor changed firm · fact
T•••• L•••••• left N•••••• A••••••• for C•••••••• F•••••••• G•••• A••••••• (registered 2022-01-13)
Jan 4, 2022 · 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address