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•••••• B•••••• G•••••••

F••••independent RIAChandler, Az IA-onlyIAPD 4584540

Certified Financial Planner

Feed of 09/15/2026

Also filed as S•••••• B•••••• G•••••••

At current firm

3 y

since May 17, 2023

In the industry

23 y

since Oct 18, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• independent RIA current
since May 17, 2023 · Chandler, Az
H••••••••• W••••• M••••••••• L•• independent RIA
Sep 28, 2022 to May 14, 2023 · Fishers, In
F•••• independent RIA
Feb 24, 2021 to Jun 13, 2022 · Gilbert, Az
T• A••••••••• I••• former
Dec 2, 2019 to Jan 11, 2021 · Chandler, Az
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 2, 2019 to Dec 31, 2020 · Chandler, Az
W•••• F•••• A••••••• wirehouse
Mar 1, 2019 to Dec 2, 2019 · Tempe, Az
C•••••• S••••• • C••• I••• national BD
Oct 4, 2010 to Aug 2, 2018 · Scottsdale, Az
C•••• I••••••••• S••••••• C•••• former
Nov 16, 2009 to Jan 12, 2010 · Scottsdale, Az
W•••• F•••• A••••••• wirehouse
Jul 15, 2008 to Oct 21, 2009 · Phoenix, Az
W•••• F•••• I••••••••• L•• unclassified
Oct 30, 2002 to Jul 2, 2008 · Chandler, Az

Moves

a registration end followed by a registration begin elsewhere

H••••••••• W••••• M••••••••• L•• to F••••
left May 14, 2023, registered May 17, 2023 (3 days) · RIA to RIA
F•••• to H••••••••• W••••• M••••••••• L••
left Jun 13, 2022, registered Sep 28, 2022 (107 days) · RIA to RIA
T• A••••••••• I••• to F••••
left Jan 11, 2021, registered Feb 24, 2021 (44 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 31, 2020, registered Dec 2, 2019 (-395 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 2, 2019, registered Dec 2, 2019 (0 days) · Wirehouse to independent RIA
C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••
left Aug 2, 2018, registered Mar 1, 2019 (211 days) · Affiliated broker-dealer or bank to wirehouse
C•••• I••••••••• S••••••• C•••• to C•••••• S••••• • C••• I•••
left Jan 12, 2010, registered Oct 4, 2010 (265 days) · Other
W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••
left Oct 21, 2009, registered Nov 16, 2009 (26 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jul 2, 2008, registered Jul 15, 2008 (13 days) · Other

Signals

S•••••• B•••••• G••••••• left H••••••••• W••••• M••••••••• L•• for Facet (registered 2023-05-17)
May 14, 2023 · Advisor changed firm · fact
S•••••• B•••••• G••••••• left Facet for H••••••••• W••••• M••••••••• L•• (registered 2022-09-28)
Jun 13, 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: Independent wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address