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.
Feed of 09/14/2026
Also filed as George Henry Elias
At current firm
1 y
since May 15, 2025
In the industry
18 y
since Jun 20, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince May 15, 2025 · Novato, Ca
- Sorrento Pacific Financial, LLC formerApr 5, 2017 to May 15, 2025 · Larkspur, Ca
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseMar 7, 2011 to Apr 5, 2017 · Santa Rosa, Ca
- Morgan Stanley wirehouseJun 1, 2009 to Jan 25, 2010 · Concord, Ca
- Morgan Stanley & Co. LLC unclassifiedJun 23, 2008 to Jun 1, 2009 · Concord, Ca
Moves
a registration end followed by a registration begin elsewhere
- Sorrento Pacific Financial, LLC to LPL Financial LLCleft May 15, 2025, registered May 15, 2025 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Sorrento Pacific Financial, LLCleft Apr 5, 2017, registered Apr 5, 2017 (0 days) · Other
- Morgan Stanley to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Jan 25, 2010, registered Mar 7, 2011 (406 days) · Wirehouse to wirehouse
- Morgan Stanley & Co. LLC to Morgan Stanleyleft Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
- George H Elias left Sorrento Pacific Financial, Llc for Lpl Financial Llc (registered 2025-05-15)May 15, 2025 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address