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

A••••• S•••••••

S•••••••• A••••••• L••national BDPittsford, Ny dual registrantIAPD 5395412

Certified Financial Planner

Feed of 09/15/2026

Also filed as A••••• Travis

At current firm

1 y

since Apr 24, 2025

In the industry

18 y

since Sep 24, 2007 (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 24, 2025 · Pittsford, Ny
L•• A•••••••• L•• independent RIA
Jul 15, 2022 to Aug 11, 2023 · Pittsford, Ny
C•••••• S••••• • C••• I••• national BD
Jan 22, 2013 to Jul 20, 2022 · San Diego, Ca
S•••••••• A••••••• L•• national BD
Jun 30, 2011 to Jan 8, 2013 · San Diego, Ca
U•• F•••••••• S••••••• I••• wirehouse
Sep 25, 2007 to May 13, 2009 · Plano, Tx

Moves

a registration end followed by a registration begin elsewhere

L•• A•••••••• L•• to S•••••••• A••••••• L••
left Aug 11, 2023, registered Apr 24, 2025 (622 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to L•• A•••••••• L••
left Jul 20, 2022, registered Jul 15, 2022 (-5 days) · Affiliated broker-dealer or bank to independent RIA
S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Jan 8, 2013, registered Jan 22, 2013 (14 days) · Affiliated broker-dealer or bank to another
U•• F•••••••• S••••••• I••• to S•••••••• A••••••• L••
left May 13, 2009, registered Jun 30, 2011 (778 days) · Wirehouse to affiliated broker-dealer or bank

Signals

A••••• S••••••• left L•• A•••••••• L•• for S•••••••• A••••••• L•• (registered 2025-04-24)
Aug 11, 2023 · Advisor changed firm · fact
A••••• S••••••• left C•••••• S••••• • C••• I••• for L•• A•••••••• L•• (registered 2022-07-15)
Jul 20, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address