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
Brett James Thomas
Feed of 09/15/2026
At current firm
2 y
since Dec 12, 2023
In the industry
12 y
since Aug 1, 2014 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- Mercer Global Advisors Inc. independent RIA currentsince Dec 12, 2023 · Dallas, Tx
- Mariner Independent independent RIAMay 5, 2022 to Sep 29, 2023 · Los Angeles, Ca
- Mariner BD affiliatedMar 15, 2022 to Sep 29, 2023 · Los Angeles, Ca
- Adviceperiod, LLC formerFeb 23, 2021 to Mar 30, 2022 · Los Angeles, Ca
- The Pacific Group formerJan 13, 2020 to Apr 17, 2020 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- Mariner to Mariner Independentleft Sep 29, 2023, registered May 5, 2022 (-512 days) · Affiliated broker-dealer or bank to independent RIA
- Mariner Independent to Mercer Global Advisors Inc.left Sep 29, 2023, registered Dec 12, 2023 (74 days) · RIA to RIA
- Adviceperiod, LLC to Marinerleft Mar 30, 2022, registered Mar 15, 2022 (-15 days) · RIA to affiliated broker-dealer or bank · moved with a team
- The Pacific Group to Adviceperiod, LLCleft Apr 17, 2020, registered Feb 23, 2021 (312 days) · RIA to RIA
Signals
- Brett James Thomas left Mariner Independent for Mercer Global Advisors Inc. (registered 2023-12-12)Sep 29, 2023 · Advisor changed firm · fact
- Brett James Thomas left Mariner for Mariner Independent (registered 2022-05-05)Sep 29, 2023 · Advisor changed firm · fact
- Brett James Thomas left Adviceperiod, Llc for Mariner (registered 2022-03-15)Mar 30, 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address