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

G•••• S••••• F••••

W•••• F•••• A•••••••wirehouseAlpharetta, Gadual registrantIAPD 4311875

Feed of 09/14/2026

Also filed as G•••• S F••••

At current firm

3 y

since Jul 17, 2023

In the industry

17 y

since Jan 7, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Jul 17, 2023 · Alpharetta, Ga
S•••••• N••••••• • C••••••• I••••••••• national BD
Jun 17, 2014 to Jul 24, 2023 · Atlanta, Ga
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2013 to Jun 25, 2014 · Atlanta, Ga
M••••• K••••• • C••••••• L•• former
Mar 11, 2009 to Feb 13, 2013 · Atlanta, Ga
U•• F•••••••• S••••••• I••• wirehouse
Jan 12, 2009 to Mar 17, 2009 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••
left Jul 24, 2023, registered Jul 17, 2023 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Jun 25, 2014, registered Jun 17, 2014 (-8 days) · Affiliated broker-dealer or bank to another
M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to M••••• K••••• • C••••••• L••
left Mar 17, 2009, registered Mar 11, 2009 (-6 days) · Other

Signals

G•••• S••••• F•••• left S•••••• N••••••• • C••••••• I••••••••• for W•••• F•••• A••••••• (registered 2023-07-17)
Jul 24, 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: Wirehousederived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address