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

F•••••••• G••••• F••••••

E•••••• F•••••••• E••••••independent RIARoseville, CaIA-onlyIAPD 2114799

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as Fred F••••••

At current firm

9 y

since Nov 30, 2016

In the industry

31 y

since Oct 28, 1994 (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

E•••••• F•••••••• E•••••• independent RIA current
since Nov 30, 2016 · Roseville, Ca
F•••••••• E•••••• A•••••• C•••••• L•• former
Apr 24, 2015 to Nov 30, 2016 · Roseville, Ca
T•• M••••• F••• S•••• former
Jan 4, 2011 to May 15, 2015 · Roseville, Ca
T••••••• I••••••••• M••••••••• I••• BD affiliated
May 5, 2009 to Apr 1, 2010 · Rancho Cordova, Ca
E••••• J•••• national BD
Jan 5, 2009 to Feb 9, 2009 · St Louis, Mo
I•••••• A•• P•••••• A•••• M••••••••• I••• unclassified
Apr 26, 2004 to Apr 7, 2006 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

F•••••••• E•••••• A•••••• C•••••• L•• to E•••••• F•••••••• E••••••
left Nov 30, 2016, registered Nov 30, 2016 (0 days) · corporate re-registration, not a move
T•• M••••• F••• S•••• to F•••••••• E•••••• A•••••• C•••••• L••
left May 15, 2015, registered Apr 24, 2015 (-21 days) · Other · moved with a team
T••••••• I••••••••• M••••••••• I••• to T•• M••••• F••• S••••
left Apr 1, 2010, registered Jan 4, 2011 (278 days) · Other
E••••• J•••• to T••••••• I••••••••• M••••••••• I•••
left Feb 9, 2009, registered May 5, 2009 (85 days) · Other
I•••••• A•• P•••••• A•••• M••••••••• I••• to E••••• J••••
left Apr 7, 2006, registered Jan 5, 2009 (1004 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: Independent wealth managerderived
Years in industry: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address