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

S••••• B•••• G•••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 2134070

Feed of 09/14/2026

Also filed as Sam Gris

At current firm

2 y

since Sep 3, 2024

In the industry

35 y

since May 2, 1991 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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•••••• A••••••• G••••• L•• BD affiliated current
since Sep 3, 2024 · Madison, Ga
T••••• A••••••• S•••••••• I••• BD affiliated
Aug 28, 2019 to Aug 26, 2024 · Atlanta, Ga
E••••• J•••• national BD
Jun 17, 2019 to Aug 7, 2019 · Athens, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 29, 2016 to May 7, 2018 · Athens, Ga
S•••••••• A••••••• L•• national BD
Jun 26, 2015 to Jul 15, 2016 · Dunwoody, Ga
J••• A•••••••• I••• former
Sep 25, 2014 to Dec 16, 2014 · Atlanta, Ga
C•••••• S••••• • C••• I••• national BD
Aug 12, 2011 to Aug 18, 2014 · Atlanta, Ga
S••••••• I••••••••• S•••••••• I••• former
Apr 14, 2009 to Jul 29, 2011 · Decatur, Ga

Moves

a registration end followed by a registration begin elsewhere

T••••• A••••••• S•••••••• I••• to E•••••• A••••••• G••••• L••
left Aug 26, 2024, registered Sep 3, 2024 (8 days) · Affiliated broker-dealer or bank to another
E••••• J•••• to T••••• A••••••• S•••••••• I•••
left Aug 7, 2019, registered Aug 28, 2019 (21 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left May 7, 2018, registered Jun 17, 2019 (406 days) · Wirehouse to affiliated broker-dealer or bank
S•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 15, 2016, registered Nov 29, 2016 (137 days) · Affiliated broker-dealer or bank to wirehouse
J••• A•••••••• I••• to S•••••••• A••••••• L••
left Dec 16, 2014, registered Jun 26, 2015 (192 days) · Other
C•••••• S••••• • C••• I••• to J••• A•••••••• I•••
left Aug 18, 2014, registered Sep 25, 2014 (38 days) · Other
S••••••• I••••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••
left Jul 29, 2011, registered Aug 12, 2011 (14 days) · Other

Signals

S••••• B•••• G••• left T••••• A••••••• S•••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2024-09-03)
Aug 26, 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: 35derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address