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

T••••••• D•• O••••••

B••••• C•••••• A•••• M••••••••• L••state registeredPhoenix, AzIA-onlyIAPD 852657

Feed of 09/14/2026

Also filed as T••••••• D O••••••

At current firm

15 y

since May 9, 2011

In the industry

40 y

since Jan 14, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B••••• C•••••• A•••• M••••••••• L•• state registered current
since May 9, 2011 · Phoenix, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2009 to Feb 22, 2010 · Las Vegas, Nv
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Nov 6, 2007 to Oct 23, 2009 · Las Vegas, Nv
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 3, 1999 to Nov 8, 2007 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••• C•••••• A•••• M••••••••• L••
left Feb 22, 2010, registered May 9, 2011 (441 days) · Wirehouse to a state-registered adviser
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Nov 8, 2007, registered Nov 6, 2007 (-2 days) · Other

Signals

No dated event on this person.

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: STATE REGISTEREDderived
Years in industry: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address