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••••• P•••••• D••••••••

S•••••••• A•••••••• L••BD affiliatedNorth Haven, Ctdual registrantIAPD 2563654

Feed of 09/14/2026

Also filed as S••••• P•••••• Gennaro

At current firm

2 y

since Sep 13, 2024

In the industry

31 y

since Jan 27, 1995 (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

S•••••••• A•••••••• L•• BD affiliated current
since Sep 13, 2024 · North Haven, Ct
S•••••• C•••••• A••••••• L•• BD affiliated
Jul 15, 2016 to Oct 10, 2024 · Hew Haven, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 27, 2007 to Jul 18, 2016 · New Haven, Ct
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 24, 1995 to Aug 6, 2007 · New Haven, Ct

Moves

a registration end followed by a registration begin elsewhere

S•••••• C•••••• A••••••• L•• to S•••••••• A•••••••• L••
left Oct 10, 2024, registered Sep 13, 2024 (-27 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• C•••••• A••••••• L••
left Jul 18, 2016, registered Jul 15, 2016 (-3 days) · Other
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 6, 2007, registered Jul 27, 2007 (-10 days) · Other

Signals

S••••• P•••••• D•••••••• left S•••••• C•••••• A••••••• L•• for S•••••••• A•••••••• L•• (registered 2024-09-13)
Oct 10, 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address