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

A••••• S••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseChandler, Azdual registrantIAPD 2110055

Feed of 09/14/2026

Also filed as A••••• Eric S••••••

At current firm

12 y

since Nov 19, 2013

In the industry

25 y

since Jun 2, 2001 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Nov 19, 2013 · Chandler, Az
U••• F•••••••• P••••••• S••••••• former
Mar 15, 2011 to Oct 8, 2013 · Phoenix, Az
C•••• I••••••••• S••••••• C•••• former
Sep 17, 2009 to Jan 12, 2010 · Wheaton, Il
V•••• F•••••••• A•••••••• I••• BD affiliated
Jun 30, 2008 to Mar 31, 2009 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 2, 2007 to Jun 5, 2008 · Lisle, Il
T• A••••••••• I••• former
Jun 14, 2007 to Aug 14, 2007 · Oak Brook, Il
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 14, 2007 to Aug 14, 2007 · Oak Brook, Il
C•••••• S••••• • C••• I••• national BD
Jul 18, 2005 to May 14, 2007 · Schaumburg, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 13, 2002 to Dec 17, 2003 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 8, 2013, registered Nov 19, 2013 (42 days) · Other
C•••• I••••••••• S••••••• C•••• to U••• F•••••••• P••••••• S•••••••
left Jan 12, 2010, registered Mar 15, 2011 (427 days) · Other
V•••• F•••••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••
left Mar 31, 2009, registered Sep 17, 2009 (170 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•••• F•••••••• A•••••••• I•••
left Jun 5, 2008, registered Jun 30, 2008 (25 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Aug 14, 2007, registered Jun 14, 2007 (-61 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Aug 14, 2007, registered Jun 14, 2007 (-61 days) · Other
C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left May 14, 2007, registered Jun 14, 2007 (31 days) · Affiliated broker-dealer or bank to a newly registered adviser
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Dec 17, 2003, registered Jul 18, 2005 (579 days) · Wirehouse to affiliated broker-dealer or bank

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: Wirehousederived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address