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

F•••• T••••• B••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedBaton Rouge, Ladual registrantIAPD 823407

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as Tommy Bernard

At current firm

2 y

since May 30, 2024

In the industry

50 y

since Jan 1, 1976 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since May 30, 2024 · Baton Rouge, La
C•••••••• F•••••••• G•••• A••••••• former
Dec 16, 2016 to May 24, 2024 · Baton Rouge, La
I•• A•••••••• I••• mixed wealth
Mar 26, 2013 to Dec 16, 2016 · Dallas, Tx
I••••••••• S••••••••• C••••••••• former
Aug 4, 2011 to Dec 31, 2013 · Dallas, Tx
C••••• A••••••• G••••• I••• former
Sep 18, 2009 to Jul 5, 2011 · Austin, Tx
H••••• F•••••••• S•••••••• L•• former
Feb 14, 2007 to Oct 10, 2008 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

C•••••••• F•••••••• G•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left May 24, 2024, registered May 30, 2024 (6 days) · Affiliated broker-dealer or bank to another · moved with a team
I•• A•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••
left Dec 16, 2016, registered Dec 16, 2016 (0 days) · Other
I••••••••• S••••••••• C••••••••• to I•• A•••••••• I•••
left Dec 31, 2013, registered Mar 26, 2013 (-280 days) · Other
C••••• A••••••• G••••• I••• to I••••••••• S••••••••• C•••••••••
left Jul 5, 2011, registered Aug 4, 2011 (30 days) · Other
H••••• F•••••••• S•••••••• L•• to C••••• A••••••• G••••• I•••
left Oct 10, 2008, registered Sep 18, 2009 (343 days) · Other

Signals

F•••• T••••• B•••••• left C•••••••• F•••••••• G•••• A••••••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-05-30)
May 24, 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: 50derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address