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

G••• A••••• T•••••

I••••• G••••• A•••••••state registeredSan Marino, Cadual registrantIAPD 1100279

Feed of 09/14/2026

At current firm

12 y

since Nov 5, 2013

In the industry

43 y

since Apr 5, 1983 (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

I••••• G••••• A••••••• state registered current
since Nov 5, 2013 · San Marino, Ca
F••• W••••• A•••••••• I••• former
Oct 4, 2022 to Jul 25, 2023 · Palo Alto, Ca
F•••••••• M••••••••• N•••••• I•• independent RIA
Dec 10, 2014 to Jun 17, 2024 · Mission Viejo, Ca
M•• F•••••••• G••••• I••• unclassified
May 12, 2010 to Jun 14, 2011 · Santa Ana, Ca
T•••• S••••••••• I••• unclassified
Aug 14, 2003 to Nov 30, 2004 · El Monte, Ca

Moves

a registration end followed by a registration begin elsewhere

F•••••••• M••••••••• N•••••• I•• to F••• W••••• A•••••••• I•••
left Jun 17, 2024, registered Oct 4, 2022 (-622 days) · Other
F••• W••••• A•••••••• I••• to no registered destination
left Jul 25, 2023 · Departure, no registered destination
M•• F•••••••• G••••• I••• to I••••• G••••• A•••••••
left Jun 14, 2011, registered Nov 5, 2013 (875 days) · Other
T•••• S••••••••• I••• to M•• F•••••••• G••••• I•••
left Nov 30, 2004, registered May 12, 2010 (1989 days) · Other

Signals

G••• A••••• T••••• left F•••••••• M••••••••• N•••••• I•• for F••• W••••• A•••••••• I••• (registered 2022-10-04)
Jun 17, 2024 · Advisor changed firm · fact
G••• A••••• T••••• no longer registered at F••• W••••• A•••••••• I•••; no later IA registration on IAPD
Jul 25, 2023 · Advisor departure · 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: STATE REGISTEREDderived
Years in industry: 43derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address