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.

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Registered advisor

G•••••• L•••• S•••••••

K•••••••• W••••• A•••••••• L••BD affiliatedSnellville, Ga dual registrantIAPD 2394057

Feed of 09/14/2026

At current firm

2 y

since Jul 3, 2024

In the industry

28 y

since Jun 2, 1998 (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

K•••••••• W••••• A•••••••• L•• BD affiliated current
since Jul 3, 2024 · San Diego, Ca
E••••••••• P•••••••• L•• former
Sep 15, 2016 to Apr 2, 2025 · Snellville, Ga
W•••• F•••• A••••••• wirehouse
Dec 14, 2010 to Sep 14, 2016 · Duluth, Ga
M••••• S•••••• wirehouse
Jun 1, 2009 to Dec 21, 2010 · Cleveland, Oh
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 24, 2005 to Jun 1, 2009 · Cleveland, Oh
K•••••• C•••••• M•••••• I••• unclassified
Oct 15, 1999 to Nov 3, 2005 · Pepper Pike, Oh

Moves

a registration end followed by a registration begin elsewhere

E••••••••• P•••••••• L•• to K•••••••• W••••• A•••••••• L••
left Apr 2, 2025, registered Jul 3, 2024 (-273 days) · RIA to affiliated broker-dealer or bank · moved with a team
W•••• F•••• A••••••• to E••••••••• P•••••••• L••
left Sep 14, 2016, registered Sep 15, 2016 (1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
M••••• S•••••• to W•••• F•••• A•••••••
left Dec 21, 2010, registered Dec 14, 2010 (-7 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
K•••••• C•••••• M•••••• I••• to C•••••••• G••••• M•••••• I•••
left Nov 3, 2005, registered Oct 24, 2005 (-10 days) · Other

Signals

G•••••• L•••• S••••••• left E••••••••• P•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2024-07-03)
Apr 2, 2025 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address