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.
Feed of 09/15/2026
Also filed as Greg Gaynier
At current firm
5 y
since Oct 30, 2020
In the industry
44 y
since Aug 31, 1982 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Cwm, LLC BD affiliated currentsince Oct 30, 2020 · Austin, Tx
- Spc BD affiliatedOct 15, 2018 to Nov 3, 2020 · Austin, Tx
- Kestra Advisory Services, LLC BD affiliatedApr 25, 2016 to Oct 18, 2018 · Austin, Tx
- Nfp Advisor Services, LLC formerOct 1, 2015 to Sep 22, 2016 · Austin, Tx
- Wealthspire Retirement Advisory institutionalMay 14, 2013 to Jul 18, 2016 · Austin, Tx
- Financial Telesis, Inc. formerOct 15, 2010 to Aug 26, 2014 · Austin, Tx
- Nrp Advisors, Inc. unclassifiedJul 7, 2008 to Oct 18, 2010 · Austin, Tx
- Financial Telesis, Inc. formerOct 18, 2005 to Jul 8, 2008 · Austin, Tx
- Stancorp Investment Advisers, Inc. otherMar 24, 2003 to Mar 29, 2005 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- Spc to Cwm, LLCleft Nov 3, 2020, registered Oct 30, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- Kestra Advisory Services, LLC to Spcleft Oct 18, 2018, registered Oct 15, 2018 (-3 days) · Affiliated broker-dealer or bank to another
- Nfp Advisor Services, LLC to Kestra Advisory Services, LLCleft Sep 22, 2016, registered Apr 25, 2016 (-150 days) · corporate re-registration, not a move
- Wealthspire Retirement Advisory to Nfp Advisor Services, LLCleft Jul 18, 2016, registered Oct 1, 2015 (-291 days) · Other · moved with a team
- Financial Telesis, Inc. to Wealthspire Retirement Advisoryleft Aug 26, 2014, registered May 14, 2013 (-469 days) · Other
- Nrp Advisors, Inc. to Financial Telesis, Inc.left Oct 18, 2010, registered Oct 15, 2010 (-3 days) · Other
- Financial Telesis, Inc. to Nrp Advisors, Inc.left Jul 8, 2008, registered Jul 7, 2008 (-1 days) · Other
- Stancorp Investment Advisers, Inc. to Financial Telesis, Inc.left Mar 29, 2005, registered Oct 18, 2005 (203 days) · Other
Signals
No dated event on this person.
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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address