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

T•••••• S• G•••

E•••••••• P••independent RIABerwyn, Pa IA-onlyIAPD 4832316

Feed of 09/15/2026

Also filed as T•••••• Shaun G•••

At current firm

2 y

since Aug 30, 2024

In the industry

21 y

since Sep 20, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• P•• independent RIA current
since Aug 30, 2024 · Berwyn, Pa
J••• M••••• S••••••••• L•• wirehouse
Dec 22, 2023 to Jul 23, 2024 · Philadelphia, Pa
E•••••••• P•• independent RIA
Oct 19, 2021 to Sep 28, 2023 · Berwyn, Pa
T••••••• I••••••••• M••••••••• I••• BD affiliated
Feb 2, 2021 to Sep 3, 2021 · Yeadon, Pa
A••••• A•• P••••••• S••••••• BD affiliated
Jul 6, 2012 to Nov 13, 2020 · Philadelphia, Pa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 15, 2010 to Dec 23, 2010 · Pennington, Nj
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Sep 8, 2008 to Oct 13, 2009 · Philadelphia, Pa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 22, 2006 to Aug 26, 2008 · Tucson, Az

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to E•••••••• P••
left Jul 23, 2024, registered Aug 30, 2024 (38 days) · Wirehouse to independent RIA
E•••••••• P•• to J••• M••••• S••••••••• L••
left Sep 28, 2023, registered Dec 22, 2023 (85 days) · RIA to wirehouse
T••••••• I••••••••• M••••••••• I••• to E•••••••• P••
left Sep 3, 2021, registered Oct 19, 2021 (46 days) · Affiliated broker-dealer or bank to independent RIA
A••••• A•• P••••••• S••••••• to T••••••• I••••••••• M••••••••• I•••
left Nov 13, 2020, registered Feb 2, 2021 (81 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••
left Dec 23, 2010, registered Jul 6, 2012 (561 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 13, 2009, registered Sep 15, 2010 (337 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Aug 26, 2008, registered Sep 8, 2008 (13 days) · Other

Signals

T•••••• S• G••• left J••• M••••• S••••••••• L•• for E•••••••• P•• (registered 2024-08-30)
Jul 23, 2024 · Advisor changed firm · fact
T•••••• S• G••• left E•••••••• P•• for J••• M••••• S••••••••• L•• (registered 2023-12-22)
Sep 28, 2023 · 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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address