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

C••••• G•• C••••••

L•• F•••••••• L••BD affiliatedIrvine, Ca dual registrantIAPD 1055386

Feed of 09/14/2026

At current firm

3 y

since Aug 15, 2023

In the industry

38 y

since Jan 19, 1988 (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

L•• F•••••••• L•• BD affiliated current
since Aug 15, 2023 · Scottsdale, Az
K••••• A••••••• S•••••••• L•• BD affiliated
Aug 4, 2016 to Aug 14, 2023 · Scottsdale, Az
S•• I••••••••• I••• former
Jan 28, 2009 to Jul 21, 2016 · Scottsdale, Az
S•••••••• F••••••••• I••• former
Feb 13, 2007 to Jan 30, 2009 · Scottsdale, Az
H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassified
Mar 17, 2006 to Nov 18, 2009 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
left Aug 14, 2023, registered Aug 15, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
S•• I••••••••• I••• to K••••• A••••••• S•••••••• L••
left Jul 21, 2016, registered Aug 4, 2016 (14 days) · Other · moved with a team
H••••••••• G••••• E••••• • R••••••••• S••••••••• to S•••••••• F••••••••• I•••
left Nov 18, 2009, registered Feb 13, 2007 (-1009 days) · Other
S•••••••• F••••••••• I••• to S•• I••••••••• I•••
left Jan 30, 2009, registered Jan 28, 2009 (-2 days) · Other

Signals

C••••• G•• C•••••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-08-15)
Aug 14, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address