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.
Feed of 09/14/2026
Also filed as Denise Andrea Sargeant
At current firm
4 y
since Jul 28, 2022
In the industry
30 y
since Jul 5, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Acorns independent RIA currentsince Jul 28, 2022 · Irvine, Ca
- Globalt Investments formerNov 9, 2018 to Jun 14, 2021 · Atlanta, Ga
- Synovus Securities, Inc. BD affiliatedJan 5, 2015 to Jun 9, 2021 · Alpharetta, Ga
- Nfp Advisor Services, LLC formerAug 1, 2014 to Dec 14, 2015 · Alpharetta, Ga
- Financial Telesis, Inc. formerFeb 15, 2011 to Aug 1, 2014 · Atlanta, Ga
- Principal Securities, Inc. BD affiliatedJan 31, 2003 to Apr 30, 2010 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- Globalt Investments to Acornsleft Jun 14, 2021, registered Jul 28, 2022 (409 days) · RIA to RIA
- Synovus Securities, Inc. to Globalt Investmentsleft Jun 9, 2021, registered Nov 9, 2018 (-943 days) · RIA to RIA
- Nfp Advisor Services, LLC to Synovus Securities, Inc.left Dec 14, 2015, registered Jan 5, 2015 (-343 days) · Other
- Financial Telesis, Inc. to Nfp Advisor Services, LLCleft Aug 1, 2014, registered Aug 1, 2014 (0 days) · Other
- Principal Securities, Inc. to Financial Telesis, Inc.left Apr 30, 2010, registered Feb 15, 2011 (291 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address