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 Sere Elizabeth Connly
At current firm
6 y
since Jul 22, 2020
In the industry
30 y
since Jul 15, 1996 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Ira Group, Inc. institutional currentsince Jul 22, 2020 · Atlanta, Ga
- LPL Financial LLC BD affiliatedAug 26, 2011 to Oct 3, 2016 · Atlanta, Ga
- Veritas Investment Advisory Services, LLC unclassifiedJan 5, 2004 to Feb 29, 2008 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to Ira Group, Inc.left Oct 3, 2016, registered Jul 22, 2020 (1388 days) · Other · moved with a team
- Veritas Investment Advisory Services, LLC to LPL Financial LLCleft Feb 29, 2008, registered Aug 26, 2011 (1274 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
- Institutional managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address