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RIA Intelligence
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Registered advisor
S•••••• G••••• L••
Chartered Financial Analyst
Feed of 09/15/2026
At current firm
17 y
since Sep 23, 2008
In the industry
41 y
since May 31, 1985 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- N•••••••• B••••• B• L•• no RAUM currentsince Sep 23, 2008 · New York, Ny
- D•••• J• G••••• A•• C••••••• L•• unclassifiedOct 15, 1992 to Sep 18, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- D•••• J• G••••• A•• C••••••• L•• to N•••••••• B••••• B• L••left Sep 18, 2008, registered Sep 23, 2008 (5 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
- No RAUM reportedderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address