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

C•••••••• S•••••• G••••

L•• F•••••••• L••BD affiliatedDecatur, Ga dual registrantIAPD 2338209

Feed of 09/15/2026

Also filed as Catherine Sanchez

At current firm

4 y

since May 18, 2022

In the industry

19 y

since Mar 26, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since May 18, 2022 · Tucker, Ga
C••• B•••••••• S•••••••• I••• former
Jul 21, 2020 to May 18, 2022 · Waverly, Ia
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Apr 2, 2019 to Jul 21, 2020 · Atlanta, Ga
E•••••••• A•••••••• L•• national BD
Sep 12, 2018 to Mar 14, 2019 · Atlanta, Ga
E•••••• C•••••• M••••••••• L•• former
Jan 26, 2016 to Aug 24, 2018 · Alpharetta, Ga
E•••••••• A•••••••• L•• national BD
Nov 12, 2013 to Nov 4, 2015 · Atlanta, Ga
S••••••• I••••••••• S•••••••• I••• former
Apr 16, 2012 to Jan 23, 2013 · Atlanta, Ga
N•• E•••••• S••••••••• C••••••••• former
Oct 10, 2008 to Sep 2, 2010 · Atlanta, Ga
E•••••••• A•••••••• L•• national BD
Apr 12, 2007 to Mar 28, 2008 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
C•••••••• I••••••••• R••••••• A•••••••• I••• to C••• B•••••••• S•••••••• I•••
left Jul 21, 2020, registered Jul 21, 2020 (0 days) · Affiliated broker-dealer or bank to another
E•••••••• A•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Mar 14, 2019, registered Apr 2, 2019 (19 days) · Affiliated broker-dealer or bank to another
E•••••• C•••••• M••••••••• L•• to E•••••••• A•••••••• L••
left Aug 24, 2018, registered Sep 12, 2018 (19 days) · RIA to affiliated broker-dealer or bank
E•••••••• A•••••••• L•• to E•••••• C•••••• M••••••••• L••
left Nov 4, 2015, registered Jan 26, 2016 (83 days) · Other
S••••••• I••••••••• S•••••••• I••• to E•••••••• A•••••••• L••
left Jan 23, 2013, registered Nov 12, 2013 (293 days) · Other
N•• E•••••• S••••••••• C••••••••• to S••••••• I••••••••• S•••••••• I•••
left Sep 2, 2010, registered Apr 16, 2012 (592 days) · Other
E•••••••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••
left Mar 28, 2008, registered Oct 10, 2008 (196 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address