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••••• G••••• W•••••••

L•• F•••••••• L••BD affiliatedCranberry Twp, Padual registrantIAPD 4426456

Feed of 09/14/2026

At current firm

2 y

since Jan 25, 2024

In the industry

19 y

since Feb 1, 2007 (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

L•• F•••••••• L•• BD affiliated current
since Jan 25, 2024 · Cranberry Twp, Pa
C••••• I••••••••• A••••••• L•• BD affiliated
Aug 4, 2021 to Jan 25, 2024 · Freedom, Pa
O•••• I••••••••• I••• BD affiliated
Mar 4, 2020 to May 24, 2021 · Pittsburgh, Pa
J••• M••••• S••••••••• L•• wirehouse
Aug 28, 2019 to Feb 13, 2020 · Philadelphia, Pa
L•• F•••••••• L•• BD affiliated
Jul 3, 2018 to Aug 8, 2019 · Bellevue, Pa

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Jan 25, 2024, registered Jan 25, 2024 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
O•••• I••••••••• I••• to C••••• I••••••••• A••••••• L••
left May 24, 2021, registered Aug 4, 2021 (72 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to O•••• I••••••••• I•••
left Feb 13, 2020, registered Mar 4, 2020 (20 days) · Wirehouse to affiliated broker-dealer or bank
L•• F•••••••• L•• to J••• M••••• S••••••••• L••
left Aug 8, 2019, registered Aug 28, 2019 (20 days) · Affiliated broker-dealer or bank to wirehouse

Signals

S••••• G••••• W••••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-01-25)
Jan 25, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address