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

J••• C•••••• G••••••

K•••••••• W••••• A•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 2265477

Feed of 09/14/2026

Also filed as J••• G••••••

At current firm

2 y

since Aug 15, 2024

In the industry

34 y

since Aug 28, 1992 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K•••••••• W••••• A•••••••• L•• BD affiliated current
since Aug 15, 2024 · San Diego, Ca
E••••••••• P•••••••• L•• former
Jul 1, 2016 to Apr 2, 2025 · Winchester, Tn
H••••• R•••• former
Nov 10, 2015 to Aug 5, 2016 · Winchester, Tn
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
May 13, 2009 to Jul 14, 2015 · Winchester, Tn
W•••• F•••• A••••••• wirehouse
Aug 3, 2007 to Mar 24, 2009 · Winchester, Tn
W•••• F•••• A••••••• wirehouse
Nov 3, 2000 to Aug 3, 2007 · Winchester, Tn

Moves

a registration end followed by a registration begin elsewhere

E••••••••• P•••••••• L•• to K•••••••• W••••• A•••••••• L••
left Apr 2, 2025, registered Aug 15, 2024 (-230 days) · RIA to affiliated broker-dealer or bank · moved with a team
H••••• R•••• to E••••••••• P•••••••• L••
left Aug 5, 2016, registered Jul 1, 2016 (-35 days) · Other
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to H••••• R••••
left Jul 14, 2015, registered Nov 10, 2015 (119 days) · Other
W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Mar 24, 2009, registered May 13, 2009 (50 days) · Other
W•••• F•••• A••••••• to W•••• F•••• A•••••••
left Aug 3, 2007, registered Aug 3, 2007 (0 days) · channel change inside one enterprise, not a move

Signals

J••• C•••••• G•••••• left E••••••••• P•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2024-08-15)
Apr 2, 2025 · 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: 34derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address