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•••••• M•••••• E•••••••

C•••••• A••• P••••••• G••••formerWashington, DcIA-onlyIAPD 5981743

Certified Financial Planner

Feed of 09/14/2026

Also filed as S•••••• M•••••• E•••••••

At current firm

1 y

since Oct 17, 2024

In the industry

14 y

since Dec 16, 2011 (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•••••• A••• P••••••• G•••• former current
since Oct 17, 2024 · Washington, Dc
C•• W•••••• L•• former
May 15, 2019 to Dec 31, 2024 · Rockville, Md
W•••• F•••• A••••••• wirehouse
Jan 15, 2016 to May 14, 2019 · Washington, Dc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 20, 2011 to Jan 19, 2016 · Silver Spring, Md

Moves

a registration end followed by a registration begin elsewhere

C•• W•••••• L•• to C•••••• A••• P••••••• G••••
left Dec 31, 2024, registered Oct 17, 2024 (-75 days) · RIA to a newly registered adviser
W•••• F•••• A••••••• to C•• W•••••• L••
left May 14, 2019, registered May 15, 2019 (1 days) · Wirehouse to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Jan 19, 2016, registered Jan 15, 2016 (-4 days) · Wirehouse to wirehouse

Signals

S•••••• M•••••• E••••••• left C•• W•••••• L•• for C•••••• A••• P••••••• G•••• (registered 2024-10-17)
Dec 31, 2024 · 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: Former SEC-registered adviserderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address