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••••• J••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedKennesaw, Ga dual registrantIAPD 3158931

Feed of 09/15/2026

Also filed as S••••• Spitzer

At current firm

2 y

since Nov 1, 2023

In the industry

27 y

since Aug 11, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Nov 1, 2023 · Kennesaw, Ga
W•••• F•••• A••••••• wirehouse
Aug 26, 2016 to Nov 10, 2023 · Marietta, Ga
M••••• S•••••• wirehouse
Jun 1, 2009 to Sep 2, 2016 · Atlanta, Ga
M••••• S•••••• • C•• L•• unclassified
Dec 17, 2008 to Jun 1, 2009 · Atlanta, Ga
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 22, 2008 to Dec 15, 2008 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Nov 10, 2023, registered Nov 1, 2023 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to W•••• F•••• A•••••••
left Sep 2, 2016, registered Aug 26, 2016 (-7 days) · Wirehouse to wirehouse · moved with a team
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••
left Dec 15, 2008, registered Dec 17, 2008 (2 days) · Other

Signals

S••••• J•••• left W•••• F•••• A••••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2023-11-01)
Nov 10, 2023 · 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