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

G•••••• S•••• H•••••

B••••• W••••• P•••••••• I•••independent RIAScottsdale, Az IA-onlyIAPD 2656830

Feed of 09/15/2026

Also filed as Gregory Scott Hermes

At current firm

4 y

since Feb 10, 2022

In the industry

30 y

since Dec 21, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

B••••• W••••• P•••••••• I••• independent RIA current
since Feb 10, 2022 · Scottsdale, Az
F•••• F•••••••• E••••• C••••••••• former
Oct 7, 2010 to Feb 14, 2022 · Scottsdale, Az
W•••••• S••••••••• I••• BD affiliated
Nov 5, 2008 to Oct 15, 2010 · Phoenix, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 13, 2004 to Jun 25, 2008 · Scottsdale, Az
E•••••• C•••••• M••••••••• L•• former
Dec 4, 2001 to Jan 13, 2004 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

F•••• F•••••••• E••••• C••••••••• to B••••• W••••• P•••••••• I•••
left Feb 14, 2022, registered Feb 10, 2022 (-4 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
W•••••• S••••••••• I••• to F•••• F•••••••• E••••• C•••••••••
left Oct 15, 2010, registered Oct 7, 2010 (-8 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• S••••••••• I•••
left Jun 25, 2008, registered Nov 5, 2008 (133 days) · Other
E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 13, 2004, registered Jan 13, 2004 (0 days) · Other

Signals

Gregory Scott Hermes left First Financial Equity Corporation for Balboa Wealth Partners, Inc. (registered 2022-02-10)
Feb 14, 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: Independent wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address