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.
Registered advisor
Sammy Moy
Feed of 09/15/2026
At current firm
4 y
since Nov 1, 2021
In the industry
30 y
since Aug 12, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Highpoint Planning Partners independent RIA currentsince Nov 1, 2021 · Downers Grove, Il
- Highpoint Advisor Group, LLC formerAug 27, 2021 to Dec 31, 2021 · Chicago, Il
- Level Four Advisory Services BD affiliatedMay 12, 2014 to Aug 27, 2021 · Rosemont, Il
- New England Securities Corporation formerApr 14, 2004 to May 21, 2014 · Chicago, Il
- Osaic Fa, Inc. formerJan 10, 2002 to Feb 27, 2004 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Highpoint Advisor Group, LLC to Highpoint Planning Partnersleft Dec 31, 2021, registered Nov 1, 2021 (-60 days) · corporate re-registration, not a move
- Level Four Advisory Services to Highpoint Advisor Group, LLCleft Aug 27, 2021, registered Aug 27, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- New England Securities Corporation to Level Four Advisory Servicesleft May 21, 2014, registered May 12, 2014 (-9 days) · Other
- Osaic Fa, Inc. to New England Securities Corporationleft Feb 27, 2004, registered Apr 14, 2004 (47 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