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••••••• R•• G•••••

T••• W••••• M•••••••••independent RIAReston, VaIA-onlyIAPD 6373015

Feed of 09/14/2026

Also filed as Sam G•••••

At current firm

1 y

since Apr 15, 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

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••• W••••• M••••••••• independent RIA current
since Apr 15, 2025 · Reston, Va
M••••• S•••••• wirehouse
Apr 17, 2023 to Apr 4, 2025 · Reston, Va
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 2, 2022 to Apr 20, 2023 · Washington, Dc
C•••••• S••••• • C••• I••• national BD
Nov 20, 2017 to Apr 21, 2022 · Arlington, Va
E•••••• C•••••• M••••••••• L•• former
May 4, 2017 to Oct 27, 2017 · Washington, Dc
C•••••• S••••• • C••• I••• national BD
Aug 2, 2016 to May 3, 2017 · Manhasset, Ny

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to T••• W••••• M•••••••••
left Apr 4, 2025, registered Apr 15, 2025 (11 days) · Wirehouse to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
left Apr 20, 2023, registered Apr 17, 2023 (-3 days) · Wirehouse to wirehouse
C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 21, 2022, registered May 2, 2022 (11 days) · Affiliated broker-dealer or bank to wirehouse
E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Oct 27, 2017, registered Nov 20, 2017 (24 days) · Other
C•••••• S••••• • C••• I••• to E•••••• C•••••• M••••••••• L••
left May 3, 2017, registered May 4, 2017 (1 days) · Other

Signals

S••••••• R•• G••••• left M••••• S•••••• for T••• W••••• M••••••••• (registered 2025-04-15)
Apr 4, 2025 · Advisor changed firm · fact
S••••••• R•• G••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2023-04-17)
Apr 20, 2023 · Advisor changed firm · fact
S••••••• R•• G••••• left C•••••• S••••• • C••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-05-02)
Apr 21, 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: Independent wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address