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.
Feed of 09/15/2026
Also filed as Jim Hofheimer
At current firm
3 y
since Jul 28, 2023
In the industry
27 y
since Mar 15, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Jul 28, 2023 · Weaverville, Nc
- Tidal Investments LLC asset managerFeb 11, 2019 to Aug 23, 2023 · Chicago, Il
- Rothschild Investment independent RIAJun 16, 2014 to Aug 4, 2017 · Chicago, Il
- Morgan Stanley wirehouseJun 1, 2009 to Jun 25, 2014 · Chicago, Il
- Citigroup Global Markets Inc. BD affiliatedFeb 3, 2006 to Jun 1, 2009 · Chicago, Il
- Morgan Stanley Dw Inc. unclassifiedMay 12, 1999 to Feb 6, 2006 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Tidal Investments LLC to Morgan Stanleyleft Aug 23, 2023, registered Jul 28, 2023 (-26 days) · Other
- Rothschild Investment to Tidal Investments LLCleft Aug 4, 2017, registered Feb 11, 2019 (556 days) · Other
- Morgan Stanley to Rothschild Investmentleft Jun 25, 2014, registered Jun 16, 2014 (-9 days) · Other
- Citigroup Global Markets Inc. to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- Morgan Stanley Dw Inc. to Citigroup Global Markets Inc.left Feb 6, 2006, registered Feb 3, 2006 (-3 days) · Other
Signals
- James Hofheimer left Tidal Investments Llc for Morgan Stanley (registered 2023-07-28)Aug 23, 2023 · 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address