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•••••• S••••

J••• M••••• S••••••••• L••wirehouseSanta Clara, Ca dual registrantIAPD 4975703

Feed of 09/15/2026

Also filed as Greg S••••

At current firm

1 y

since Aug 28, 2025

In the industry

20 y

since Sep 26, 2005 (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

J••• M••••• S••••••••• L•• wirehouse current
since Aug 28, 2025 · Irvine, Ca
M••••• S•••••• wirehouse
Jan 2, 2025 to Aug 11, 2025 · Walnut Creek, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Nov 21, 2019 to Jan 10, 2024 · Campbell, Ca
E•••••• C•••••• M••••••••• L•• former
Apr 2, 2014 to Oct 23, 2019 · Arlington, Va
B••••••• I••••••••• S•••••••• I••• ••••• former
Aug 19, 2013 to Apr 4, 2014 · Palo Alto, Ca
C•••••• S••••• • C••• I••• national BD
Apr 28, 2008 to Mar 4, 2013 · Sunnyvale, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 1, 2006 to Apr 17, 2008 · San Francisco, Ca
M••••• S•••••• D• I••• unclassified
Sep 28, 2005 to May 24, 2006 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to J••• M••••• S••••••••• L••
left Aug 11, 2025, registered Aug 28, 2025 (17 days) · Wirehouse to wirehouse
F••••••• P••••••• A•• W•••••••• A••••••• to M••••• S••••••
left Jan 10, 2024, registered Jan 2, 2025 (358 days) · Affiliated broker-dealer or bank to wirehouse
E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Oct 23, 2019, registered Nov 21, 2019 (29 days) · RIA to affiliated broker-dealer or bank
B••••••• I••••••••• S•••••••• I••• ••••• to E•••••• C•••••• M••••••••• L••
left Apr 4, 2014, registered Apr 2, 2014 (-2 days) · Other
C•••••• S••••• • C••• I••• to B••••••• I••••••••• S•••••••• I••• •••••
left Mar 4, 2013, registered Aug 19, 2013 (168 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Apr 17, 2008, registered Apr 28, 2008 (11 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 24, 2006, registered Dec 1, 2006 (191 days) · Other

Signals

G•••••• S•••• left M••••• S•••••• for J••• M••••• S••••••••• L•• (registered 2025-08-28)
Aug 11, 2025 · Advisor changed firm · fact
G•••••• S•••• left F••••••• P••••••• A•• W•••••••• A••••••• for M••••• S•••••• (registered 2025-01-02)
Jan 10, 2024 · 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: Wirehousederived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address