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•• A•••• B•••••••

E••••• J••••national BDSt. Louis, Mo dual registrantIAPD 4413063

Feed of 09/14/2026

At current firm

1 y

since Apr 24, 2025

In the industry

25 y

since Jul 25, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E••••• J•••• national BD current
since Apr 24, 2025 · St. Louis, Mo
T• A••••••••• I••• former
Jul 27, 2021 to Oct 14, 2022 · West Hartford, Ct
C•••••• S••••• • C••• I••• national BD
Jul 26, 2007 to Mar 25, 2025 · Pittsford, Ny
P••••••• A•••••••• I••• former
Nov 15, 2006 to Jan 17, 2007 · Waltham, Ma

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left Mar 25, 2025, registered Jul 27, 2021 (-1337 days) · Other
T• A••••••••• I••• to E••••• J••••
left Oct 14, 2022, registered Apr 24, 2025 (923 days) · Other
P••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
left Jan 17, 2007, registered Jul 26, 2007 (190 days) · Other

Signals

G•• A•••• B••••••• left C•••••• S••••• • C••• I••• for T• A••••••••• I••• (registered 2021-07-27)
Mar 25, 2025 · Advisor changed firm · fact
G•• A•••• B••••••• left T• A••••••••• I••• for E••••• J•••• (registered 2025-04-24)
Oct 14, 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address