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

A••••• C•••••• B•••••••

G••••• S•••• C•••••• I•••state registeredRowland Heights, Cadual registrantIAPD 2295965

Feed of 09/14/2026

At current firm

0 y

since Jun 3, 2026

In the industry

25 y

since Oct 1, 2000 (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

G••••• S•••• C•••••• I••• state registered current
since Jun 3, 2026 · Rowland Heights, Ca
X• C•••••• A••••••• L•• former
Nov 24, 2024 to Aug 18, 2025 · New York, Ny
A••••••• A•••••••• I••• unclassified
Mar 7, 2024 to Dec 5, 2024 · Morristown, Nj
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Aug 6, 2008 to Oct 16, 2008 · Delray Beach, Fl
M••••• S•••••• C••••••••• unclassified
Jan 24, 2005 to Jul 21, 2008 · Boston, Ma
W•••• F•••• A••••••• wirehouse
Oct 1, 2000 to Sep 1, 2004 · West Palm Beach, Fl

Moves

a registration end followed by a registration begin elsewhere

X• C•••••• A••••••• L•• to G••••• S•••• C•••••• I•••
left Aug 18, 2025, registered Jun 3, 2026 (289 days) · Other
A••••••• A•••••••• I••• to X• C•••••• A••••••• L••
left Dec 5, 2024, registered Nov 24, 2024 (-11 days) · Other
C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••• A•••••••• I•••
left Oct 16, 2008, registered Mar 7, 2024 (5621 days) · Other
M••••• S•••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jul 21, 2008, registered Aug 6, 2008 (16 days) · Other
W•••• F•••• A••••••• to M••••• S•••••• C•••••••••
left Sep 1, 2004, registered Jan 24, 2005 (145 days) · Other

Signals

A••••• C•••••• B••••••• left X• C•••••• A••••••• L•• for G••••• S•••• C•••••• I••• (registered 2026-06-03)
Aug 18, 2025 · Advisor changed firm · fact
A••••• C•••••• B••••••• left A••••••• A•••••••• I••• for X• C•••••• A••••••• L•• (registered 2024-11-24)
Dec 5, 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: STATE REGISTEREDderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address