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•••••• S••••••

S•••••••• W••••• P••••••• L••independent RIAFranklin, Tn IA-onlyIAPD 6138947

Feed of 09/14/2026

Also filed as A••• G•••••• S••••••

At current firm

0 y

since Oct 6, 2025

In the industry

12 y

since Jun 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• W••••• P••••••• L•• independent RIA current
since Oct 6, 2025 · Fort Thomas, Ky
F••••••••• I••••••••• A••••••• L•• independent RIA
Aug 30, 2023 to Sep 24, 2025 · Fort Thomas, Ky
U•• F•••••••• S••••••• I••• wirehouse
Sep 18, 2018 to Apr 28, 2023 · Cincinnati, Oh
S•••••••• A••••••• L•• national BD
Jan 4, 2016 to Jun 27, 2017 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

F••••••••• I••••••••• A••••••• L•• to S•••••••• W••••• P••••••• L••
left Sep 24, 2025, registered Oct 6, 2025 (12 days) · RIA to RIA
U•• F•••••••• S••••••• I••• to F••••••••• I••••••••• A••••••• L••
left Apr 28, 2023, registered Aug 30, 2023 (124 days) · Wirehouse to independent RIA
S•••••••• A••••••• L•• to U•• F•••••••• S••••••• I•••
left Jun 27, 2017, registered Sep 18, 2018 (448 days) · Affiliated broker-dealer or bank to wirehouse

Signals

A••• G•••••• S•••••• left F••••••••• I••••••••• A••••••• L•• for S•••••••• W••••• P••••••• L•• (registered 2025-10-06)
Sep 24, 2025 · Advisor changed firm · fact
A••• G•••••• S•••••• left U•• F•••••••• S••••••• I••• for F••••••••• I••••••••• A••••••• L•• (registered 2023-08-30)
Apr 28, 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: Independent wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address