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

D•••• G•••••

E•••• S••••••••• L••BD affiliatedPerth Ambo, Njdual registrantIAPD 1228130

Feed of 09/14/2026

Also filed as D•••• W G•••••

At current firm

1 y

since May 19, 2025

In the industry

21 y

since Feb 14, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••• S••••••••• L•• BD affiliated current
since May 19, 2025 · Perth Ambo, Nj
M••••• S•••••• wirehouse
Sep 5, 2023 to Jan 2, 2024 · Jersey City, Nj
E•••••• C•••••• M••••••••• L•• former
Mar 4, 2021 to Sep 5, 2023 · Arlington, Va
T• A••••••••• I••• former
Sep 25, 2017 to Jan 11, 2021 · New York, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Sep 18, 2017 to Dec 31, 2020 · New York, Ny
E•••••••• A•••••••• L•• national BD
Dec 13, 2007 to Jul 7, 2017 · Woodbridge, Nj

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to E•••• S••••••••• L••
left Jan 2, 2024, registered May 19, 2025 (503 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
T• A••••••••• I••• to E•••••• C•••••• M••••••••• L••
left Jan 11, 2021, registered Mar 4, 2021 (52 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Sep 25, 2017 (-1193 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Jul 7, 2017, registered Sep 18, 2017 (73 days) · Other

Signals

D•••• G••••• left M••••• S•••••• for E•••• S••••••••• L•• (registered 2025-05-19)
Jan 2, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address