DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Registered advisor

S•••• M••• G•••••••

C••••••••• F•••••••• N••••••national BDTarrytown, Ny dual registrantIAPD 4567738
Feed of 09/15/2026
Also filed as S•••• M••• Walsh
At current firm
4 y
since Jun 6, 2022
In the industry
24 y
since Jul 1, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • S•••• M••• G••••••• left K••••• A••••••• S•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2022-06-06)
    Jun 8, 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
24derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address