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

G••• R•••••

S•••••••• A••••••• L••national BDPrinceton, Njdual registrantIAPD 4764097

Feed of 09/14/2026

Also filed as G••• Maria R•••••-Thomas

At current firm

0 y

since Apr 8, 2026

In the industry

21 y

since Oct 19, 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 Apr 8, 2026 · Princeton, Nj
T••••••• I••••••••• M••••••••• I••• BD affiliated
Dec 7, 2023 to Jan 28, 2025 · Minneapolis, Mn
A••••••• A•••• M••••••••• I••• mixed wealth
Sep 6, 2022 to Aug 1, 2023 · Robbinsville, Nj
M••••• S•••••• wirehouse
Jul 18, 2017 to Sep 29, 2022 · Lawrenceville, Nj
W•••• F•••• A••••••• wirehouse
Jan 2, 2013 to Jun 16, 2017 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Jan 16, 2009 to May 13, 2011 · Princeton, Nj
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 20, 2004 to Jan 22, 2009 · Princeton, Nj

Moves

a registration end followed by a registration begin elsewhere

T••••••• I••••••••• M••••••••• I••• to S•••••••• A••••••• L••
left Jan 28, 2025, registered Apr 8, 2026 (435 days) · Affiliated broker-dealer or bank to another
A••••••• A•••• M••••••••• I••• to T••••••• I••••••••• M••••••••• I•••
left Aug 1, 2023, registered Dec 7, 2023 (128 days) · Other
M••••• S•••••• to A••••••• A•••• M••••••••• I•••
left Sep 29, 2022, registered Sep 6, 2022 (-23 days) · Other
W•••• F•••• A••••••• to M••••• S••••••
left Jun 16, 2017, registered Jul 18, 2017 (32 days) · Wirehouse to wirehouse · moved with a team
U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
left May 13, 2011, registered Jan 2, 2013 (600 days) · Wirehouse to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Jan 22, 2009, registered Jan 16, 2009 (-6 days) · Wirehouse to wirehouse

Signals

G••• R••••• left T••••••• I••••••••• M••••••••• I••• for S•••••••• A••••••• L•• (registered 2026-04-08)
Jan 28, 2025 · Advisor changed firm · fact
G••• R••••• left A••••••• A•••• M••••••••• I••• for T••••••• I••••••••• M••••••••• I••• (registered 2023-12-07)
Aug 1, 2023 · Advisor changed firm · fact
G••• R••••• left M••••• S•••••• for A••••••• A•••• M••••••••• I••• (registered 2022-09-06)
Sep 29, 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address