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.
Registered advisor
Gabriel Garcia
Feed of 09/14/2026
Also filed as Gabe Garcia
At current firm
4 y
since May 13, 2022
In the industry
32 y
since Jul 8, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Sei Investments Management Corp mixed wealth currentsince May 13, 2022 · Oaks, Pa
- Cresset Asset Management, LLC independent RIAJul 21, 2021 to May 5, 2022 · Cranford, Nj
- Td Ameritrade Investment Management, LLC formerAug 31, 2010 to Sep 21, 2010 · Richmond, Va
- Td Ameritrade, Inc. formerAug 25, 2010 to Sep 21, 2010 · Omaha, Ne
- Charles Schwab & Co., Inc. national BDJan 28, 2003 to Jul 26, 2010 · Englewood, Co
Moves
a registration end followed by a registration begin elsewhere
- Cresset Asset Management, LLC to Sei Investments Management Corpleft May 5, 2022, registered May 13, 2022 (8 days) · Other
- Td Ameritrade Investment Management, LLC to Cresset Asset Management, LLCleft Sep 21, 2010, registered Jul 21, 2021 (3956 days) · Other
- Td Ameritrade, Inc. to Td Ameritrade Investment Management, LLCleft Sep 21, 2010, registered Aug 31, 2010 (-21 days) · channel change inside one enterprise, not a move
- Charles Schwab & Co., Inc. to Td Ameritrade, Inc.left Jul 26, 2010, registered Aug 25, 2010 (30 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
- Gabriel Garcia left Cresset Asset Management, Llc for Sei Investments Management Corp (registered 2022-05-13)May 5, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address