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••••• M•••• G•••••

C••• L••BD affiliatedOmaha, Ne dual registrantIAPD 4417513

Feed of 09/15/2026

Also filed as S••••• Stevens

At current firm

3 y

since Mar 13, 2023

In the industry

23 y

since Nov 4, 2002 (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

C••• L•• BD affiliated current
since Mar 13, 2023 · Omaha, Ne
T•• S•••• F•••••••• G•••• former
Jan 10, 2018 to May 11, 2023 · Baton Rouge, La
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Sep 26, 2017 to Jan 8, 2018 · Baton Rouge, La
S•••••••• A••••••• L•• national BD
Mar 23, 2017 to Sep 21, 2017 · Sugar Land, Tx
S•••••••• A••••••• L•• national BD
Dec 20, 2011 to Oct 3, 2013 · Sugar Land, Tx
S•••••••• A••••••• L•• national BD
Feb 16, 2009 to Jun 14, 2010 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

T•• S•••• F•••••••• G•••• to C••• L••
left May 11, 2023, registered Mar 13, 2023 (-59 days) · RIA to affiliated broker-dealer or bank · moved with a team
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T•• S•••• F•••••••• G••••
left Jan 8, 2018, registered Jan 10, 2018 (2 days) · Other · moved with a team
S•••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Sep 21, 2017, registered Sep 26, 2017 (5 days) · Other

Signals

S••••• M•••• G••••• left T•• S•••• F•••••••• G•••• for C••• L•• (registered 2023-03-13)
May 11, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address