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
Gerald E Shaw
Certified Financial Planner
Feed of 09/14/2026
Also filed as Jerry Shaw
At current firm
3 y
since Jul 7, 2023
In the industry
41 y
since Oct 5, 1984 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Forefront independent RIA currentsince Jul 7, 2023 · Austin, Tx
- Stark Financial Advisers, Inc. formerAug 25, 2020 to May 17, 2023 · Okeechobee, Fl
- Mutual Trust Asset Mgmt., Inc. independent RIAAug 11, 2015 to Jun 8, 2020 · Seminole, Fl
- Summit Financial Group Inc formerNov 9, 2012 to Jul 10, 2015 · Seminole, Fl
- Spc BD affiliatedOct 8, 2007 to Nov 12, 2012 · Seminole, Fl
- Asset & Financial Planning, Ltd formerFeb 9, 2007 to Oct 10, 2007 · Clearwater, Fl
- Spc BD affiliatedMay 6, 2002 to Feb 12, 2007 · Seminole, Fl
Moves
a registration end followed by a registration begin elsewhere
- Stark Financial Advisers, Inc. to Forefrontleft May 17, 2023, registered Jul 7, 2023 (51 days) · RIA to RIA
- Mutual Trust Asset Mgmt., Inc. to Stark Financial Advisers, Inc.left Jun 8, 2020, registered Aug 25, 2020 (78 days) · RIA to RIA
- Summit Financial Group Inc to Mutual Trust Asset Mgmt., Inc.left Jul 10, 2015, registered Aug 11, 2015 (32 days) · Other
- Spc to Summit Financial Group Incleft Nov 12, 2012, registered Nov 9, 2012 (-3 days) · Other
- Asset & Financial Planning, Ltd to Spcleft Oct 10, 2007, registered Oct 8, 2007 (-2 days) · Other
- Spc to Asset & Financial Planning, Ltdleft Feb 12, 2007, registered Feb 9, 2007 (-3 days) · Other
Signals
- Gerald E Shaw left Stark Financial Advisers, Inc. for Forefront (registered 2023-07-07)May 17, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address