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.

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Registered advisor

C••• G• R••••••

M••••• S••••••wirehouseSeattle, Wadual registrantIAPD 2245627

Feed of 09/14/2026

At current firm

12 y

since Jun 6, 2014

In the industry

34 y

since Jul 27, 1992 (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

M••••• S•••••• wirehouse current
since Jun 6, 2014 · Seattle, Wa
J••• M••••• S••••••••• L•• wirehouse
Oct 6, 2005 to Jun 6, 2014 · Bellevue, Wa
O••••••••• A•••• M••••••••• BD affiliated
Apr 15, 2003 to Oct 12, 2005 · New York, Ny
O••••••••• • C•• I••• BD affiliated
Jan 3, 2003 to Apr 15, 2003 · Bellevue, Wa
C••• W•••• M•••••• C•••• unclassified
Oct 18, 1996 to Jan 3, 2003 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to M••••• S••••••
left Jun 6, 2014, registered Jun 6, 2014 (0 days) · Wirehouse to wirehouse
O••••••••• A•••• M••••••••• to J••• M••••• S••••••••• L••
left Oct 12, 2005, registered Oct 6, 2005 (-6 days) · Other
O••••••••• • C•• I••• to O••••••••• A•••• M•••••••••
left Apr 15, 2003, registered Apr 15, 2003 (0 days) · corporate re-registration, not a move
C••• W•••• M•••••• C•••• to O••••••••• • C•• I•••
left Jan 3, 2003, registered Jan 3, 2003 (0 days) · corporate re-registration, not a move

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: Wirehousederived
Years in industry: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address