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 C Moss

Wms Advisors, LLCindependent RIACharlotte, NcIA-onlyIAPD 844872

Feed of 09/14/2026

Also filed as Tom Moss

At current firm

0 y

since Jul 13, 2026

In the industry

43 y

since Aug 15, 1983 (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

Wms Advisors, LLC independent RIA current
since Jul 13, 2026 · Charlotte, Nc
Ameriprise Financial Services, LLC national BD
Dec 3, 2010 to Aug 4, 2026 · Charlotte, Nc
Stephens BD affiliated
Jul 13, 2006 to Dec 14, 2010 · Columbia, Sc
Citigroup Global Markets Inc. BD affiliated
Feb 21, 2006 to Jul 18, 2006 · Columbia, Sc
Legg Mason Wood Walker, Incorporated unclassified
Dec 20, 2000 to Feb 21, 2006 · Columbia, Sc

Moves

a registration end followed by a registration begin elsewhere

Ameriprise Financial Services, LLC to Wms Advisors, LLC
left Aug 4, 2026, registered Jul 13, 2026 (-22 days) · Affiliated broker-dealer or bank to independent RIA
Stephens to Ameriprise Financial Services, LLC
left Dec 14, 2010, registered Dec 3, 2010 (-11 days) · Other
Citigroup Global Markets Inc. to Stephens
left Jul 18, 2006, registered Jul 13, 2006 (-5 days) · Other
Legg Mason Wood Walker, Incorporated to Citigroup Global Markets Inc.
left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move

Signals

Thomas C Moss left Ameriprise Financial Services, Llc for Wms Advisors, Llc (registered 2026-07-13)
Aug 4, 2026 · 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: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address