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
Scott Douglas Samuels
Feed of 09/15/2026
Also filed as Scott D Samuels
At current firm
4 y
since Nov 1, 2021
In the industry
36 y
since Feb 6, 1990 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- Citigroup Global Markets Inc. BD affiliated currentsince Nov 1, 2021 · Long Island City, Ny
- Osaic Institutions, Inc. BD affiliatedSep 5, 2018 to Oct 29, 2021 · New York, Ny
- Spartan Capital Private Wealth Management LLC state registeredJul 13, 2018 to Aug 24, 2018 · New York, Ny
- Aegis Capital Corp. BD affiliatedMar 25, 2010 to Aug 10, 2016 · New York, Ny
- Gunnallen Financial, Inc unclassifiedDec 17, 2008 to Mar 29, 2010 · New York, Ny
- Ladenburg Thalmann Asset Management Inc otherJan 3, 2008 to Dec 19, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- Osaic Institutions, Inc. to Citigroup Global Markets Inc.left Oct 29, 2021, registered Nov 1, 2021 (3 days) · Affiliated broker-dealer or bank to another
- Spartan Capital Private Wealth Management LLC to Osaic Institutions, Inc.left Aug 24, 2018, registered Sep 5, 2018 (12 days) · Other
- Aegis Capital Corp. to Spartan Capital Private Wealth Management LLCleft Aug 10, 2016, registered Jul 13, 2018 (702 days) · Other
- Gunnallen Financial, Inc to Aegis Capital Corp.left Mar 29, 2010, registered Mar 25, 2010 (-4 days) · Other
- Ladenburg Thalmann Asset Management Inc to Gunnallen Financial, Incleft Dec 19, 2008, registered Dec 17, 2008 (-2 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address