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•••• T• G••••••••

M•••••• I•••••••••i••••••••• wealthNewtown Square, PaIA-onlyIAPD 6428278

Feed of 09/14/2026

Also filed as Susan Thomas

At current firm

1 y

since Oct 9, 2024

In the industry

28 y

since Jul 1, 1998 (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

M•••••• I••••••••• i••••••••• wealth current
since Oct 9, 2024 · Newtown Square, Pa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 10, 2021 to Sep 30, 2024 · Wayne, Pa
T••••• A••••••• S•••••••• I••• BD affiliated
Oct 7, 2020 to Oct 14, 2021 · Doylestown, Pa
B••• S••••••••• L•• former
Sep 27, 2018 to Feb 17, 2021 · Charlotte, Nc
P•••• S••••••••• L•• no RAUM
Mar 27, 2015 to Oct 3, 2018 · Warrington, Pa

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•••••• I•••••••••
left Sep 30, 2024, registered Oct 9, 2024 (9 days) · Wirehouse to independent RIA
T••••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 14, 2021, registered Nov 10, 2021 (27 days) · Affiliated broker-dealer or bank to wirehouse
B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
left Feb 17, 2021, registered Oct 7, 2020 (-133 days) · corporate re-registration, not a move
P•••• S••••••••• L•• to B••• S••••••••• L••
left Oct 3, 2018, registered Sep 27, 2018 (-6 days) · Affiliated broker-dealer or bank to another

Signals

S•••• T• G•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M•••••• I••••••••• (registered 2024-10-09)
Sep 30, 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: I••••••••• WEALTHderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address