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

G•••••• S•••••••• M•••••

S•••• B••• C•••••• L••state registeredDarien, CtIA-onlyIAPD 1100727

Feed of 09/14/2026

At current firm

1 y

since Jun 24, 2025

In the industry

45 y

since Dec 1, 1980 (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

S•••• B••• C•••••• L•• state registered current
since Jun 24, 2025 · Darien, Ct
E••••• F•••••••• G•••• mixed wealth
Jul 9, 2024 to Dec 31, 2024 · Chicago, Il
M••••• S•••••• wirehouse
Jun 1, 2009 to Jan 13, 2021 · Greenwich, Ct
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jun 1, 2009 · Greenwich, Ct
M••••• S•••••• D• I••• unclassified
Aug 30, 1991 to Apr 2, 2007 · Greenwich, Ct

Moves

a registration end followed by a registration begin elsewhere

E••••• F•••••••• G•••• to S•••• B••• C•••••• L••
left Dec 31, 2024, registered Jun 24, 2025 (175 days) · RIA to a state-registered adviser
M••••• S•••••• to E••••• F•••••••• G••••
left Jan 13, 2021, registered Jul 9, 2024 (1273 days) · Wirehouse to independent RIA
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

G•••••• S•••••••• M••••• left E••••• F•••••••• G•••• for S•••• B••• C•••••• L•• (registered 2025-06-24)
Dec 31, 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: STATE REGISTEREDderived
Years in industry: 45derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address