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• G••••••

Q••••• W•••• A•••••••• L••independent RIAMurray, Ky dual registrantIAPD 4352357

Feed of 09/14/2026

Also filed as S•••••• Timothy G••••••

At current firm

1 y

since Jan 9, 2025

In the industry

25 y

since Mar 19, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, 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

Q••••• W•••• A•••••••• L•• independent RIA current
since Jan 9, 2025 · Murray, Ky
C••••••• A•••• M••••••••• L•• BD affiliated
Nov 4, 2021 to Dec 31, 2024 · Ann Arbor, Mi
S•• B••• A•••••••• I••• independent RIA
Sep 10, 2021 to Nov 4, 2021 · Boca Raton, Fl
S• A•••••••• L•• independent RIA
Aug 31, 2021 to Nov 4, 2021 · Boca Raton, Fl
S••••• O•• S••••••••• I••• BD affiliated
Jan 15, 2019 to Jun 15, 2021 · Hopkinsville, Ky
C•••••• S••••• • C••• I••• national BD
Feb 10, 2012 to May 7, 2018 · Boca Raton, Fl
B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliated
May 24, 2010 to Dec 31, 2011 · Boca Raton, Fl
V•••• F•••••••• A•••••••• I••• BD affiliated
May 28, 2008 to Jun 1, 2010 · Brentwood, Tn
L•• F•••••••• L•• BD affiliated
Jun 8, 2005 to Aug 2, 2005 · Murray, Ky
V•••• F•••••••• A•••••••• I••• BD affiliated
Oct 13, 2003 to Nov 18, 2005 · Tallahassee, Fl

Moves

a registration end followed by a registration begin elsewhere

C••••••• A•••• M••••••••• L•• to Q••••• W•••• A•••••••• L••
left Dec 31, 2024, registered Jan 9, 2025 (9 days) · Affiliated broker-dealer or bank to independent RIA
S• A•••••••• L•• to S•• B••• A•••••••• I•••
left Nov 4, 2021, registered Sep 10, 2021 (-55 days) · RIA to RIA
S•• B••• A•••••••• I••• to C••••••• A•••• M••••••••• L••
left Nov 4, 2021, registered Nov 4, 2021 (0 days) · RIA to affiliated broker-dealer or bank
S••••• O•• S••••••••• I••• to S• A•••••••• L••
left Jun 15, 2021, registered Aug 31, 2021 (77 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to S••••• O•• S••••••••• I•••
left May 7, 2018, registered Jan 15, 2019 (253 days) · Affiliated broker-dealer or bank to independent RIA
B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••
left Dec 31, 2011, registered Feb 10, 2012 (41 days) · Other
V•••• F•••••••• A•••••••• I••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••
left Jun 1, 2010, registered May 24, 2010 (-8 days) · Other
V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••
left Nov 18, 2005, registered Jun 8, 2005 (-163 days) · Other
L•• F•••••••• L•• to V•••• F•••••••• A•••••••• I•••
left Aug 2, 2005, registered May 28, 2008 (1030 days) · Other

Signals

S•••••• T• G•••••• left C••••••• A•••• M••••••••• L•• for Q••••• W•••• A•••••••• L•• (registered 2025-01-09)
Dec 31, 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: Independent wealth managerderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address