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

E••• S••••• G••••

C••••• I••••••••• A••••••• L••BD affiliatedTraverse City, Midual registrantIAPD 6423892

Feed of 09/14/2026

At current firm

4 y

since Mar 18, 2022

In the industry

11 y

since Nov 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Mar 18, 2022 · Traverse City, Mi
C••• F•••••••• S•••••••• L••• former
Jan 22, 2018 to Mar 18, 2022 · Traverse City, Mi
J••• M••••• S••••••••• L•• wirehouse
Jan 26, 2017 to Jan 30, 2018 · Traverse City, Mi
H•••• F•••••••• S•••••••• I••• independent RIA
May 5, 2015 to Jan 4, 2017 · Bay City, Mi

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••
left Mar 18, 2022, registered Mar 18, 2022 (0 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to C••• F•••••••• S•••••••• L•••
left Jan 30, 2018, registered Jan 22, 2018 (-8 days) · Wirehouse to affiliated broker-dealer or bank
H•••• F•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••
left Jan 4, 2017, registered Jan 26, 2017 (22 days) · Other

Signals

E••• S••••• G•••• no longer holds an investment adviser registration (last listed at C••••• I••••••••• A••••••• L•• on the 2026-09-17 feed)
Sep 17, 2026 · Advisor registration ended · derived
E••• S••••• G•••• left C••• F•••••••• S•••••••• L••• for C••••• I••••••••• A••••••• L•• (registered 2022-03-18)
Mar 18, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address