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

E••• S•• L•••

P•••••••• S••••••••• I•••BD affiliatedDes Moines, Ia dual registrantIAPD 3202545

Feed of 09/14/2026

Also filed as E••• Sue Bridgewater

At current firm

0 y

since Jan 13, 2026

In the industry

25 y

since Jul 18, 2001 (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

P•••••••• S••••••••• I••• BD affiliated current
since Jan 13, 2026 · Nashville, In
S••••••• F•••••••• I••••••••• A••••••• L•• institutional
Feb 25, 2025 to Dec 3, 2025 · Carmel, In
L•••••• I••••••••• independent RIA
Jan 28, 2025 to Dec 23, 2025 · Palm Beach Gardens, Fl
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Jul 20, 2015 to Jul 9, 2024 · Colorado Springs, Co
P•••••••• S••••••••• I••• BD affiliated
Aug 27, 2004 to Aug 27, 2013 · Downers Grove, Il

Moves

a registration end followed by a registration begin elsewhere

L•••••• I••••••••• to S••••••• F•••••••• I••••••••• A••••••• L••
left Dec 23, 2025, registered Feb 25, 2025 (-301 days) · Other
S••••••• F•••••••• I••••••••• A••••••• L•• to P•••••••• S••••••••• I•••
left Dec 3, 2025, registered Jan 13, 2026 (41 days) · Other
T• R••• P•••• A••••••• S•••••••• I••• to L•••••• I•••••••••
left Jul 9, 2024, registered Jan 28, 2025 (203 days) · Affiliated broker-dealer or bank to independent RIA
P•••••••• S••••••••• I••• to T• R••• P•••• A••••••• S•••••••• I•••
left Aug 27, 2013, registered Jul 20, 2015 (692 days) · Other

Signals

E••• S•• L••• left L•••••• I••••••••• for S••••••• F•••••••• I••••••••• A••••••• L•• (registered 2025-02-25)
Dec 23, 2025 · Advisor changed firm · fact
E••• S•• L••• left S••••••• F•••••••• I••••••••• A••••••• L•• for P•••••••• S••••••••• I••• (registered 2026-01-13)
Dec 3, 2025 · Advisor changed firm · fact
E••• S•• L••• left T• R••• P•••• A••••••• S•••••••• I••• for L•••••• I••••••••• (registered 2025-01-28)
Jul 9, 2024 · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address