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

R•••••• A•••• G••••

S•••••• W••••• P•••••••• L••BD affiliatedBroadview Heights, Ohdual registrantIAPD 2447068

Feed of 09/14/2026

Also filed as Rick G••••

At current firm

9 y

since Feb 16, 2017

In the industry

32 y

since Mar 11, 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

S•••••• W••••• P•••••••• L•• BD affiliated current
since Feb 16, 2017 · Broadview Heights, Oh
M•• F•••••••• S•••••••• I••• former
Jul 7, 2010 to Feb 23, 2017 · Broadview Heights, Oh
H• B•••• I••• former
Nov 17, 2009 to Jun 10, 2010 · Brecksville, Oh
C••••• A••••••• L•• former
Jul 19, 2007 to Nov 12, 2009 · Greenwood Village, Co
L••••• A••••••• S•••••••• I••• unclassified
Nov 8, 2004 to Jul 18, 2007 · Brecksville, Oh

Moves

a registration end followed by a registration begin elsewhere

M•• F•••••••• S•••••••• I••• to S•••••• W••••• P•••••••• L••
left Feb 23, 2017, registered Feb 16, 2017 (-7 days) · Other · moved with a team
H• B•••• I••• to M•• F•••••••• S•••••••• I•••
left Jun 10, 2010, registered Jul 7, 2010 (27 days) · Other
C••••• A••••••• L•• to H• B•••• I•••
left Nov 12, 2009, registered Nov 17, 2009 (5 days) · Other
L••••• A••••••• S•••••••• I••• to C••••• A••••••• L••
left Jul 18, 2007, registered Jul 19, 2007 (1 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: 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