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•••• A••••••

S•••••••• A••••••• L••national BDGlendale, Cadual registrantIAPD 6630290

Feed of 09/14/2026

Also filed as S•••• Gregory A••••••

At current firm

1 y

since Mar 31, 2025

In the industry

14 y

since Sep 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Glendale, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Oct 7, 2024 to Mar 31, 2025 · Torrance, Ca
M••••••••• A•••••••• L•• independent RIA
Jun 23, 2023 to Sep 11, 2024 · New York, Ny
A•••• W••••• A•••••••• L•• BD affiliated
May 27, 2022 to Jun 29, 2023 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
May 14, 2019 to Oct 5, 2021 · Bay Shore, Ny
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 5, 2017 to Apr 22, 2019 · New York, Ny
T• A••••••••• I••• former
Jun 2, 2017 to Apr 22, 2019 · New York, Ny
U•• F•••••••• S••••••• I••• wirehouse
Apr 27, 2017 to May 26, 2017 · Weehawken, Nj

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M••••••••• A•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Sep 11, 2024, registered Oct 7, 2024 (26 days) · Other
A•••• W••••• A•••••••• L•• to M••••••••• A•••••••• L••
left Jun 29, 2023, registered Jun 23, 2023 (-6 days) · Other · moved with a team
C•••••••• G••••• M•••••• I••• to A•••• W••••• A•••••••• L••
left Oct 5, 2021, registered May 27, 2022 (234 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••••• G••••• M•••••• I•••
left Apr 22, 2019, registered May 14, 2019 (22 days) · RIA to affiliated broker-dealer or bank
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Apr 22, 2019, registered Jun 5, 2017 (-686 days) · channel change inside one enterprise, not a move
U•• F•••••••• S••••••• I••• to T• A••••••••• I•••
left May 26, 2017, registered Jun 2, 2017 (7 days) · Other

Signals

S•••• A•••••• left M••••••••• A•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-10-07)
Sep 11, 2024 · Advisor changed firm · fact
S•••• A•••••• left A•••• W••••• A•••••••• L•• for M••••••••• A•••••••• L•• (registered 2023-06-23)
Jun 29, 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: National broker-dealer RIAderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address