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

B•••• C•••••• D••••

T•• A•••••••• G••••BD affiliatedNew York, Ny dual registrantIAPD 1449366

Feed of 09/15/2026

At current firm

0 y

since Mar 2, 2026

In the industry

25 y

since Feb 12, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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

T•• A•••••••• G•••• BD affiliated current
since Mar 2, 2026 · Las Vegas, Nv
K••••• A••••••• S•••••••• L•• BD affiliated
Feb 1, 2023 to Mar 2, 2026 · Austin, Tx
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 25, 2022 to Feb 24, 2023 · New York, Ny
T•••• F•••••••• A•••••••• L•• former
Oct 5, 2015 to Oct 9, 2017 · Bethpage, Ny
C••••• C••••••• L•• former
Jul 17, 2014 to Sep 15, 2015 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

K••••• A••••••• S•••••••• L•• to T•• A•••••••• G••••
left Mar 2, 2026, registered Mar 2, 2026 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
C••••• I••••••••• A••••••• L•• to K••••• A••••••• S•••••••• L••
left Feb 24, 2023, registered Feb 1, 2023 (-23 days) · Affiliated broker-dealer or bank to another · moved with a team
T•••• F•••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••
left Oct 9, 2017, registered Jan 25, 2022 (1569 days) · Other
C••••• C••••••• L•• to T•••• F•••••••• A•••••••• L••
left Sep 15, 2015, registered Oct 5, 2015 (20 days) · Other

Signals

B•••• C•••••• D•••• left K••••• A••••••• S•••••••• L•• for T•• A•••••••• G•••• (registered 2026-03-02)
Mar 2, 2026 · Advisor changed firm · fact
B•••• C•••••• D•••• left C••••• I••••••••• A••••••• L•• for K••••• A••••••• S•••••••• L•• (registered 2023-02-01)
Feb 24, 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address