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

N••••••• E• G•••••••

S•••••••• A••••••• L••national BDRichmond, Tx dual registrantIAPD 6881618

Feed of 09/14/2026

Also filed as N••••••• Edward G•••••••

At current firm

0 y

since Oct 3, 2025

In the industry

9 y

since Oct 1, 2016 (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

S•••••••• A••••••• L•• national BD current
since Oct 3, 2025 · Sugar Land, Tx
G•••••• H••••• A•••••••• I••• independent RIA
Mar 1, 2024 to Mar 10, 2025 · Houston, Tx
J••• M••••• S••••••••• L•• wirehouse
Oct 24, 2022 to Feb 18, 2024 · Garden City, Ny
U•• F•••••••• S••••••• I••• wirehouse
Mar 19, 2021 to Oct 11, 2022 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 12, 2020 to Mar 22, 2021 · New York, Ny
M•••• F•••••••• A••••••• L•• independent RIA
May 29, 2018 to Mar 21, 2019 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

G•••••• H••••• A•••••••• I••• to S•••••••• A••••••• L••
left Mar 10, 2025, registered Oct 3, 2025 (207 days) · RIA to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to G•••••• H••••• A•••••••• I•••
left Feb 18, 2024, registered Mar 1, 2024 (12 days) · Wirehouse to independent RIA
U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••
left Oct 11, 2022, registered Oct 24, 2022 (13 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Mar 22, 2021, registered Mar 19, 2021 (-3 days) · Wirehouse to wirehouse · moved with a team
M•••• F•••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 21, 2019, registered Feb 12, 2020 (328 days) · RIA to wirehouse

Signals

N••••••• E• G••••••• left G•••••• H••••• A•••••••• I••• for S•••••••• A••••••• L•• (registered 2025-10-03)
Mar 10, 2025 · Advisor changed firm · fact
N••••••• E• G••••••• left J••• M••••• S••••••••• L•• for G•••••• H••••• A•••••••• I••• (registered 2024-03-01)
Feb 18, 2024 · Advisor changed firm · fact
N••••••• E• G••••••• left U•• F•••••••• S••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-10-24)
Oct 11, 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: National broker-dealer RIAderived
Years in industry: 9derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address