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

G••••• G••••• H••••

J••• M••••• S••••••••• L••wirehouseNew York, Nydual registrantIAPD 2452976

Feed of 09/14/2026

Also filed as G••••• G••••• H••••

At current firm

1 y

since May 7, 2025

In the industry

32 y

since Apr 29, 1994 (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

J••• M••••• S••••••••• L•• wirehouse current
since May 7, 2025 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Feb 23, 2022 to Apr 30, 2025 · New York, Ny
T• P•••••• C••••• W••••• L•• BD affiliated
Apr 16, 2013 to Mar 6, 2022 · New York, Ny
T• W••••• M••••••••• S••••••• I••• unclassified
Jul 25, 2006 to May 28, 2010 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••
left Apr 30, 2025, registered May 7, 2025 (7 days) · Affiliated broker-dealer or bank to wirehouse
T• P•••••• C••••• W••••• L•• to C•••••••• G••••• M•••••• I•••
left Mar 6, 2022, registered Feb 23, 2022 (-11 days) · Affiliated broker-dealer or bank to another
T• W••••• M••••••••• S••••••• I••• to T• P•••••• C••••• W••••• L••
left May 28, 2010, registered Apr 16, 2013 (1054 days) · Other

Signals

G••••• G••••• H•••• left C•••••••• G••••• M•••••• I••• for J••• M••••• S••••••••• L•• (registered 2025-05-07)
Apr 30, 2025 · Advisor changed firm · fact
G••••• G••••• H•••• left T• P•••••• C••••• W••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2022-02-23)
Mar 6, 2022 · 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: Wirehousederived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address