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•••••••• G••••••

C•••••• S••••• • C••• I•••national BDSandy Springs, Gadual registrantIAPD 5533751

Certified Financial Planner

Feed of 09/14/2026

Also filed as A•••••••• G••••••

At current firm

1 y

since Apr 1, 2025

In the industry

18 y

since Jul 25, 2008 (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

C•••••• S••••• • C••• I••• national BD current
since Apr 1, 2025 · Sandy Springs, Ga
E•••••• A••••••• G••••• L•• BD affiliated
Jun 17, 2024 to Feb 12, 2025 · Greenwood Village, Co
K••••• A••••••• S•••••••• L•• BD affiliated
Sep 15, 2022 to Jun 14, 2023 · Alpharetta, Ga
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Aug 15, 2022 · Boston, Ma
S•••••••• A••••••• L•• national BD
Dec 17, 2010 to Jul 13, 2018 · Atlanta, Ga
E••••• J•••• national BD
Aug 13, 2008 to Sep 29, 2010 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

E•••••• A••••••• G••••• L•• to C•••••• S••••• • C••• I•••
left Feb 12, 2025, registered Apr 1, 2025 (48 days) · Affiliated broker-dealer or bank to another
K••••• A••••••• S•••••••• L•• to E•••••• A••••••• G••••• L••
left Jun 14, 2023, registered Jun 17, 2024 (369 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to K••••• A••••••• S•••••••• L••
left Aug 15, 2022, registered Sep 15, 2022 (31 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
E••••• J•••• to S•••••••• A••••••• L••
left Sep 29, 2010, registered Dec 17, 2010 (79 days) · Affiliated broker-dealer or bank to another

Signals

A•••••••• G•••••• left E•••••• A••••••• G••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-04-01)
Feb 12, 2025 · Advisor changed firm · fact
A•••••••• G•••••• left K••••• A••••••• S•••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2024-06-17)
Jun 14, 2023 · Advisor changed firm · fact
A•••••••• G•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for K••••• A••••••• S•••••••• L•• (registered 2022-09-15)
Aug 15, 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