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•••••• A••••• L•••••

R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSt. Petersburg, Fl dual registrantIAPD 2473232

Feed of 09/14/2026

Also filed as S•••••• A••••• L•••••

At current firm

4 y

since Apr 13, 2022

In the industry

39 y

since Apr 1, 1987 (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

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
since Apr 13, 2022 · Saint Petersburg, Fl
R•••••• J•••• • A••••••••• I••• national BD current
since Apr 13, 2022 · St. Petersburg, Fl
S••••• O• A•••••• M••••••••• C••• asset manager
Apr 9, 2018 to Apr 12, 2022 · Syosset, Ny
E•••••• C•••••• M••••••••• L•• former
May 24, 2013 to Mar 5, 2014 · Arlington, Va
G••••• P•••••••• S••••••••• I••• former
Sep 11, 2008 to May 25, 2012 · Deer Park, Ny
C•••• I••••••••• S••••••• C•••• former
Jan 22, 2007 to Sep 4, 2008 · Plainview, Ny

Moves

a registration end followed by a registration begin elsewhere

S••••• O• A•••••• M••••••••• C••• to R•••••• J•••• • A••••••••• I•••
left Apr 12, 2022, registered Apr 13, 2022 (1 days) · Other
E•••••• C•••••• M••••••••• L•• to S••••• O• A•••••• M••••••••• C•••
left Mar 5, 2014, registered Apr 9, 2018 (1496 days) · Other
G••••• P•••••••• S••••••••• I••• to E•••••• C•••••• M••••••••• L••
left May 25, 2012, registered May 24, 2013 (364 days) · Other
C•••• I••••••••• S••••••• C•••• to G••••• P•••••••• S••••••••• I•••
left Sep 4, 2008, registered Sep 11, 2008 (7 days) · Other

Signals

S•••••• A••••• L••••• left S••••• O• A•••••• M••••••••• C••• for R•••••• J•••• • A••••••••• I••• (registered 2022-04-13)
Apr 12, 2022 · 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: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address