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•••••• W••••

O•••••• C•••••••• A•••••••• L••independent RIAAtlanta, GaIA-onlyIAPD 3234586

Feed of 09/14/2026

Also filed as Sally Sermprungsuk

At current firm

0 y

since Oct 7, 2025

In the industry

27 y

since Jul 20, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••••• C•••••••• A•••••••• L•• independent RIA current
since Oct 7, 2025 · Atlanta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 18, 2022 to Sep 24, 2025 · Atlanta, Ga
W•••• F•••• A••••••• wirehouse
Dec 24, 2020 to Feb 23, 2022 · Atlanta, Ga
R••••••••• C•••••• M••••••••• BD affiliated
Mar 19, 2019 to Jun 11, 2020 · Atlanta, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 6, 2015 to Jan 22, 2019 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O•••••• C•••••••• A•••••••• L••
left Sep 24, 2025, registered Oct 7, 2025 (13 days) · Wirehouse to independent RIA · moved with a team
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 23, 2022, registered Mar 18, 2022 (23 days) · Wirehouse to wirehouse
R••••••••• C•••••• M••••••••• to W•••• F•••• A•••••••
left Jun 11, 2020, registered Dec 24, 2020 (196 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••••• C•••••• M•••••••••
left Jan 22, 2019, registered Mar 19, 2019 (56 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team

Signals

S•••••• W•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for O•••••• C•••••••• A•••••••• L•• (registered 2025-10-07)
Sep 24, 2025 · Advisor changed firm · fact
S•••••• W•••• left W•••• F•••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-03-18)
Feb 23, 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: Independent wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address