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
Timothy Patrick Garrettson
Feed of 09/15/2026
At current firm
5 y
since Jul 20, 2021
In the industry
43 y
since Oct 20, 1982 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Herbert J. Sims Capital Management, Inc. independent RIA currentsince Jul 20, 2021 · Stuart, Fl
- Oppenheimer & Co. Inc. BD affiliatedAug 4, 2014 to Jan 24, 2020 · Boca Raton, Fl
- Moors & Cabot, Inc BD affiliatedApr 19, 2010 to Aug 6, 2014 · Boca Raton, Fl
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNov 28, 2007 to Jan 20, 2010 · Jupiter, Fl
- Ryan Beck & Co. unclassifiedSep 10, 2004 to Apr 18, 2007 · Palm Beach Gardens, Fl
- Wells Fargo Advisors wirehouseJul 1, 2003 to Sep 13, 2004 · Stuart, Fl
- Prudential Equity Group, LLC unclassifiedAug 19, 1999 to Jul 1, 2003 · Stuart, Fl
Moves
a registration end followed by a registration begin elsewhere
- Oppenheimer & Co. Inc. to Herbert J. Sims Capital Management, Inc.left Jan 24, 2020, registered Jul 20, 2021 (543 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Moors & Cabot, Inc to Oppenheimer & Co. Inc.left Aug 6, 2014, registered Aug 4, 2014 (-2 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Moors & Cabot, Incleft Jan 20, 2010, registered Apr 19, 2010 (89 days) · Other
- Ryan Beck & Co. to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Apr 18, 2007, registered Nov 28, 2007 (224 days) · Other
- Wells Fargo Advisors to Ryan Beck & Co.left Sep 13, 2004, registered Sep 10, 2004 (-3 days) · Other
- Prudential Equity Group, LLC to Wells Fargo Advisorsleft Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address