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••••• C••••••

A••••••••• F•••••••• S•••••••• L••national BDLos Angeles, Ca dual registrantIAPD 4848295

Feed of 09/15/2026

Also filed as S••••• G••••• C••••••

At current firm

2 y

since Nov 3, 2023

In the industry

21 y

since Oct 14, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since Nov 3, 2023 · Los Angeles, Ca
C••••••• S••••••••• former
Sep 8, 2023 to Nov 3, 2023 · Los Angeles, Ca
U••• B•••••• I••••••••• I••• former
Jun 2, 2023 to Aug 23, 2023 · Spokane, Wa
U••• B•••••• A•••••••• L•• BD affiliated
Feb 24, 2022 to May 31, 2023 · Los Angeles, Ca
W•••• F•••• A••••••• wirehouse
Oct 25, 2016 to Feb 28, 2022 · Minneapolis, Mn
U••• B•••••• A•••••••• L•• BD affiliated
Jul 1, 2014 to Oct 11, 2016 · Beverly Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••
left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
U••• B•••••• I••••••••• I••• to C••••••• S•••••••••
left Aug 23, 2023, registered Sep 8, 2023 (16 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••
left May 31, 2023, registered Jun 2, 2023 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••
left Feb 28, 2022, registered Feb 24, 2022 (-4 days) · Wirehouse to affiliated broker-dealer or bank
U••• B•••••• A•••••••• L•• to W•••• F•••• A•••••••
left Oct 11, 2016, registered Oct 25, 2016 (14 days) · Other

Signals

S••••• G••••• C•••••• left U••• B•••••• I••••••••• I••• for C••••••• S••••••••• (registered 2023-09-08)
Aug 23, 2023 · Advisor changed firm · fact
S••••• G••••• C•••••• left U••• B•••••• A•••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-06-02)
May 31, 2023 · Advisor changed firm · fact
S••••• G••••• C•••••• left W•••• F•••• A••••••• for U••• B•••••• A•••••••• L•• (registered 2022-02-24)
Feb 28, 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