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••••• T•••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 4172811

Feed of 09/14/2026

Also filed as S••••• B Banks

At current firm

3 y

since May 30, 2023

In the industry

26 y

since Sep 6, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 May 30, 2023 · Collierville, Tn
V•••• F•••••••• A•••••••• I••• BD affiliated
Aug 15, 2022 to Apr 26, 2023 · Brentwood, Tn
A••••••• F•••••••• A•••••••• L•• BD affiliated
Dec 14, 2018 to Aug 12, 2022 · Cordova, Tn
C••• B•••••••• S•••••••• I••• former
Apr 13, 2015 to Dec 21, 2018 · Memphis, Tn
N••••••••• I••••••••• A•••••••• L•• BD affiliated
Dec 5, 2006 to Mar 26, 2015 · Columbus, Oh
N••••••••• I••••••••• S••••••• C••••••••• unclassified
Jun 20, 2006 to Dec 5, 2006 · Memphis, Tn

Moves

a registration end followed by a registration begin elsewhere

V•••• F•••••••• A•••••••• I••• to E•••••• A••••••• G••••• L••
left Apr 26, 2023, registered May 30, 2023 (34 days) · Affiliated broker-dealer or bank to another
A••••••• F•••••••• A•••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Aug 12, 2022, registered Aug 15, 2022 (3 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to A••••••• F•••••••• A•••••••• L••
left Dec 21, 2018, registered Dec 14, 2018 (-7 days) · RIA to affiliated broker-dealer or bank
N••••••••• I••••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••
left Mar 26, 2015, registered Apr 13, 2015 (18 days) · Other
N••••••••• I••••••••• S••••••• C••••••••• to N••••••••• I••••••••• A•••••••• L••
left Dec 5, 2006, registered Dec 5, 2006 (0 days) · corporate re-registration, not a move

Signals

S••••• T••••• left V•••• F•••••••• A•••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2023-05-30)
Apr 26, 2023 · Advisor changed firm · fact
S••••• T••••• left A••••••• F•••••••• A•••••••• L•• for V•••• F•••••••• A•••••••• I••• (registered 2022-08-15)
Aug 12, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address