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 J Riggers
Feed of 09/14/2026
Also filed as Thomas Jonathan Riggers
At current firm
0 y
since Jun 2, 2026
In the industry
13 y
since Aug 1, 2013 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- Principal Advised Services BD affiliated currentsince Jun 2, 2026 · Denver, Co
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseFeb 14, 2024 to Dec 3, 2025 · Arvada, Co
- Equitable Advisors, LLC national BDJul 10, 2023 to Feb 14, 2024 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Principal Advised Servicesleft Dec 3, 2025, registered Jun 2, 2026 (181 days) · Wirehouse to affiliated broker-dealer or bank
- Equitable Advisors, LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Feb 14, 2024, registered Feb 14, 2024 (0 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- Thomas J Riggers left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Principal Advised Services (registered 2026-06-02)Dec 3, 2025 · Advisor changed firm · fact
- Thomas J Riggers left Equitable Advisors, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-02-14)Feb 14, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address