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•••••• R••••••• G•••

F•••• P••••••• W•••••• L••independent RIASan Diego, CaIA-onlyIAPD 1433532

Certified Financial Planner

Feed of 09/14/2026

Also filed as C•••••• R••••••• Hook

At current firm

2 y

since Sep 3, 2024

In the industry

39 y

since Dec 16, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

F•••• P••••••• W•••••• L•• independent RIA current
since Sep 3, 2024 · San Diego, Ca
H••••••••• L•• former
Sep 25, 2006 to Nov 21, 2024 · San Diego, Ca
M•• A••••••• F•••••••• M••••••••• I••• former
May 4, 2004 to Oct 21, 2008 · San Diego, Ca
H••••••••• unclassified
Dec 9, 2002 to Sep 13, 2006 · San Diego, Ca
F•• A•••••••• I••• asset manager
Jul 8, 1997 to May 4, 2004 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

H••••••••• L•• to F•••• P••••••• W•••••• L••
left Nov 21, 2024, registered Sep 3, 2024 (-79 days) · RIA to RIA · moved with a team
M•• A••••••• F•••••••• M••••••••• I••• to H••••••••• L••
left Oct 21, 2008, registered Sep 25, 2006 (-757 days) · Other
H••••••••• to M•• A••••••• F•••••••• M••••••••• I•••
left Sep 13, 2006, registered May 4, 2004 (-862 days) · Other
F•• A•••••••• I••• to H•••••••••
left May 4, 2004, registered Dec 9, 2002 (-512 days) · Other

Signals

C•••••• R••••••• G••• left H••••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2024-09-03)
Nov 21, 2024 · 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: Independent wealth managerderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address