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••••• B•••••••••

E•••••• A••••••• G••••• L••BD affiliatedPeabody, Ma dual registrantIAPD 3157899

Feed of 09/15/2026

Also filed as S••••• Louis B•••••••••

At current firm

4 y

since Aug 30, 2022

In the industry

27 y

since Jul 19, 1999 (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

E•••••• A••••••• G••••• L•• BD affiliated current
since Aug 30, 2022 · Greenwood Village, Co
I• A••••••• S•••••••• I••• former
Jan 19, 2021 to Jul 22, 2022 · Bedminster, Nj
A•••••••• F•••• M••••••••• L•• asset manager
Jan 30, 2017 to Jan 15, 2020 · Boston, Ma
A•••••••• F•••• M••••••••• L•• asset manager
Jan 4, 2010 to Dec 31, 2014 · San Francisco, Ca
E•••••••• I••••••••• M••••••••• C• unclassified
Nov 12, 2009 to Jan 4, 2010 · Boston, Ma

Moves

a registration end followed by a registration begin elsewhere

I• A••••••• S•••••••• I••• to E•••••• A••••••• G••••• L••
left Jul 22, 2022, registered Aug 30, 2022 (39 days) · Affiliated broker-dealer or bank to another
A•••••••• F•••• M••••••••• L•• to I• A••••••• S•••••••• I•••
left Jan 15, 2020, registered Jan 19, 2021 (370 days) · Other
E•••••••• I••••••••• M••••••••• C• to A•••••••• F•••• M••••••••• L••
left Jan 4, 2010, registered Jan 4, 2010 (0 days) · Other

Signals

S••••• B••••••••• left I• A••••••• S•••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2022-08-30)
Jul 22, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address