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•••••••

S•••••• C•••••• A••••••• L••BD affiliatedNew York, Nydual registrantIAPD 5411407

Feed of 09/14/2026

At current firm

2 y

since Jan 2, 2024

In the industry

17 y

since Aug 4, 2009 (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•••••• C•••••• A••••••• L•• BD affiliated current
since Jan 2, 2024 · New York, Ny
O•••• W•••••• I••• BD affiliated
Sep 1, 2023 to Dec 26, 2023 · Scottsdale, Az
S•••••••• F••••••••• I••• former
Feb 13, 2018 to Sep 1, 2023 · Scottsdale, Az
C•••••• O•• F•••••••• A••••••• L•• unclassified
Oct 15, 2010 to Feb 7, 2013 · Melville, Ny
E••••• J•••• national BD
Aug 4, 2009 to Aug 26, 2009 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to S•••••• C•••••• A••••••• L••
left Dec 26, 2023, registered Jan 2, 2024 (7 days) · Affiliated broker-dealer or bank to another
S•••••••• F••••••••• I••• to O•••• W•••••• I•••
left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
C•••••• O•• F•••••••• A••••••• L•• to S•••••••• F••••••••• I•••
left Feb 7, 2013, registered Feb 13, 2018 (1832 days) · Other
E••••• J•••• to C•••••• O•• F•••••••• A••••••• L••
left Aug 26, 2009, registered Oct 15, 2010 (415 days) · Other

Signals

G••••• S••••••• left O•••• W•••••• I••• for S•••••• C•••••• A••••••• L•• (registered 2024-01-02)
Dec 26, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address