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••••

S•••••••• A••••••• L••national BDClearwater, Fl dual registrantIAPD 4749687

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as S••••• G••••

At current firm

1 y

since Mar 31, 2025

In the industry

21 y

since Dec 22, 2004 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Palm Harbor, Fl
F••••••• P••••••• A•• W•••••••• A••••••• former
Dec 1, 2021 to Mar 31, 2025 · Jacksonville, Fl
J•••• T•••••• I••••••••• P•••••••• L•• independent RIA
Aug 10, 2020 to Oct 29, 2021 · Tampa, Fl
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Aug 17, 2018 to Jun 4, 2020 · Palm Harbor, Fl
C•••••• S••••• • C••• I••• national BD
Jun 26, 2017 to Jul 26, 2018 · Clearwater, Fl
R•••••• J•••• • A••••••••• I••• national BD
Oct 11, 2006 to May 31, 2017 · St. Petersburg, Fl
S•••••••• A••••••• L•• national BD
Jan 31, 2005 to Jul 27, 2006 · Philadelphia, Pa

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
J•••• T•••••• I••••••••• P•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 29, 2021, registered Dec 1, 2021 (33 days) · RIA to affiliated broker-dealer or bank
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to J•••• T•••••• I••••••••• P•••••••• L••
left Jun 4, 2020, registered Aug 10, 2020 (67 days) · Affiliated broker-dealer or bank to independent RIA
C•••••• S••••• • C••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 26, 2018, registered Aug 17, 2018 (22 days) · Affiliated broker-dealer or bank to another
R•••••• J•••• • A••••••••• I••• to C•••••• S••••• • C••• I•••
left May 31, 2017, registered Jun 26, 2017 (26 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Jul 27, 2006, registered Oct 11, 2006 (76 days) · Affiliated broker-dealer or bank to another

Signals

No dated event on this person.

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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address