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

S•••••• G••••• D••

C•••••• S••••• • C••• I•••national BDSeattle, Wadual registrantIAPD 5912420

Feed of 09/14/2026

Also filed as Spencer Daw

At current firm

0 y

since Jan 2, 2026

In the industry

13 y

since Jan 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, 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 Jan 2, 2026 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 27, 2025 to Dec 18, 2025 · Bellevue, Wa
J••• M••••• S••••••••• L•• wirehouse
Aug 31, 2023 to Mar 12, 2025 · Lacey, Wa
P•••••• W••••• A••••••• G•••• former
Oct 18, 2019 to Jul 13, 2023 · Houston, Tx
A••••• A•• P••••••• S••••••• BD affiliated
Mar 22, 2018 to Aug 12, 2019 · Salt Lake City, Ut
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 4, 2013 to Jun 21, 2017 · Draper, Ut
T• A••••••••• I••• former
Feb 4, 2013 to Jun 21, 2017 · Draper, Ut

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Dec 18, 2025, registered Jan 2, 2026 (15 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 12, 2025, registered Mar 27, 2025 (15 days) · Wirehouse to wirehouse · moved with a team
P•••••• W••••• A••••••• G•••• to J••• M••••• S••••••••• L••
left Jul 13, 2023, registered Aug 31, 2023 (49 days) · RIA to wirehouse
A••••• A•• P••••••• S••••••• to P•••••• W••••• A••••••• G••••
left Aug 12, 2019, registered Oct 18, 2019 (67 days) · Affiliated broker-dealer or bank to independent RIA
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 21, 2017, registered Feb 4, 2013 (-1598 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jun 21, 2017, registered Feb 4, 2013 (-1598 days) · Other · moved with a team

Signals

S•••••• G••••• D•• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••••• S••••• • C••• I••• (registered 2026-01-02)
Dec 18, 2025 · Advisor changed firm · fact
S•••••• G••••• D•• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2025-03-27)
Mar 12, 2025 · Advisor changed firm · fact
S•••••• G••••• D•• left P•••••• W••••• A••••••• G•••• for J••• M••••• S••••••••• L•• (registered 2023-08-31)
Jul 13, 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: National broker-dealer RIAderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address