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••••• G••••

L•• F•••••••• L••BD affiliatedHuntington Beach, Cadual registrantIAPD 2376972

Feed of 09/14/2026

Also filed as B•••• C G••••

At current firm

1 y

since Apr 24, 2025

In the industry

32 y

since Sep 21, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Apr 24, 2025 · Huntington Beach, Ca
C••• F•••••••• S•••••••• L••• former
Jan 13, 2023 to Apr 4, 2025 · Anaheim, Ca
W••••• F•••••••• S•••••••• L•• former
Sep 12, 2012 to Feb 6, 2023 · Pasadena, Ca
M••••• C•••••• A•••••••• L•• independent RIA
Feb 7, 2012 to Jul 9, 2012 · Raleigh, Nc
C•••••••• F••••••••• I••• BD affiliated
Jun 28, 2007 to Aug 25, 2010 · Anaheim, Ca
B••••••••• S••••••••• C••••••••• unclassified
Jan 19, 2006 to Jul 3, 2007 · Huntington Beach, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Feb 4, 2003 to Aug 3, 2004 · Long Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left Apr 4, 2025, registered Apr 24, 2025 (20 days) · Affiliated broker-dealer or bank to another · moved with a team
W••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••
left Feb 6, 2023, registered Jan 13, 2023 (-24 days) · RIA to affiliated broker-dealer or bank · moved with a team
M••••• C•••••• A•••••••• L•• to W••••• F•••••••• S•••••••• L••
left Jul 9, 2012, registered Sep 12, 2012 (65 days) · Other
C•••••••• F••••••••• I••• to M••••• C•••••• A•••••••• L••
left Aug 25, 2010, registered Feb 7, 2012 (531 days) · Other
B••••••••• S••••••••• C••••••••• to C•••••••• F••••••••• I•••
left Jul 3, 2007, registered Jun 28, 2007 (-5 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to B••••••••• S••••••••• C•••••••••
left Aug 3, 2004, registered Jan 19, 2006 (534 days) · Other

Signals

B•••• C••••• G•••• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2025-04-24)
Apr 4, 2025 · Advisor changed firm · fact
B•••• C••••• G•••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
Feb 6, 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address