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

D•••••• A•• S•••••

C•••••• S••••• • C••• I•••national BDSarasota, Fldual registrantIAPD 4635917

Feed of 09/14/2026

Also filed as Dorothy Sperry Graska

At current firm

3 y

since Sep 5, 2023

In the industry

22 y

since Apr 7, 2004 (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

C•••••• S••••• • C••• I••• national BD current
since Sep 5, 2023 · Sarasota, Fl
E•••••• A••••••• G••••• L•• BD affiliated
Mar 8, 2022 to Aug 16, 2023 · Greenwood Village, Co
T• A••••••••• I••• former
Apr 29, 2020 to Feb 2, 2022 · The Villages, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 7, 2020 to Feb 2, 2022 · The Villages, Fl
E•••••• F•••••••• E•••••• independent RIA
Oct 15, 2019 to Mar 11, 2020 · Henrico, Va
T• A••••••••• I••• former
Feb 28, 2018 to Aug 29, 2019 · Gainesville, Fl
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Aug 29, 2019 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Apr 4, 2017 to Feb 26, 2018 · Jacksonville Beach, Fl
F••••••• F•••••••• A••••••••• I••• former
Apr 29, 2016 to Aug 17, 2016 · Wilmington, Nc
S•••••••• A••••••• L•• national BD
Jul 15, 2013 to Feb 1, 2016 · Jacksonville, Fl
P•••• S••••••••• L•• no RAUM
Apr 20, 2011 to May 31, 2013 · Gainesville, Fl
E•••••••• A•••••••• L•• national BD
Dec 23, 2008 to Apr 18, 2011 · Gainesville, Fl
V•••• F•••••••• A•••••••• I••• BD affiliated
Apr 14, 2004 to Dec 22, 2008 · Gainesville, Fl

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to C•••••• S••••• • C••• I•••
left Aug 16, 2023, registered Sep 5, 2023 (20 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Feb 2, 2022, registered Apr 29, 2020 (-644 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to E•••••• A••••••• G••••• L••
left Feb 2, 2022, registered Mar 8, 2022 (34 days) · Other
E•••••• F•••••••• E•••••• to T• A••••••••• I••••••••• M••••••••• L••
left Mar 11, 2020, registered Apr 7, 2020 (27 days) · RIA to RIA
T• A••••••••• I••• to E•••••• F•••••••• E••••••
left Aug 29, 2019, registered Oct 15, 2019 (47 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Aug 29, 2019, registered Feb 28, 2018 (-547 days) · channel change inside one enterprise, not a move · moved with a team
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
F••••••• F•••••••• A••••••••• I••• to S•••••••• I••••••••• M•••••••••
left Aug 17, 2016, registered Apr 4, 2017 (230 days) · Other
S•••••••• A••••••• L•• to F••••••• F•••••••• A••••••••• I•••
left Feb 1, 2016, registered Apr 29, 2016 (88 days) · Other
P•••• S••••••••• L•• to S•••••••• A••••••• L••
left May 31, 2013, registered Jul 15, 2013 (45 days) · Other
E•••••••• A•••••••• L•• to P•••• S••••••••• L••
left Apr 18, 2011, registered Apr 20, 2011 (2 days) · Other
V•••• F•••••••• A•••••••• I••• to E•••••••• A•••••••• L••
left Dec 22, 2008, registered Dec 23, 2008 (1 days) · Other

Signals

D•••••• A•• S••••• left E•••••• A••••••• G••••• L•• for C•••••• S••••• • C••• I••• (registered 2023-09-05)
Aug 16, 2023 · Advisor changed firm · fact
D•••••• A•• S••••• left T• A••••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2022-03-08)
Feb 2, 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address