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
G•••••• A•••••• L••••
Feed of 09/14/2026
Also filed as G•••••• A•••••• L••••
At current firm
2 y
since Nov 8, 2023
In the industry
24 y
since Jul 24, 2002 (earliest exam, job or registration)
Prior registered firms
10
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 8, 2023 · Clifton, Nj
- C••••••• S••••••••• I••• BD affiliatedAug 17, 2022 to Nov 7, 2023 · Cedar Grove, Nj
- C••••• I••••••••• A••••••• L•• BD affiliatedDec 7, 2017 to Aug 17, 2022 · Cedar Grove, Nj
- I••••• F•••••••• C••••••••• formerOct 13, 2015 to Dec 6, 2017 · Morristown, Nj
- E•••• N••••••• S••••••••• I••• formerAug 6, 2013 to Oct 15, 2015 · Napa, Ca
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Aug 2, 2013 · Hoboken, Nj
- L•• F•••••••• L•• BD affiliatedMay 31, 2011 to Sep 19, 2012 · Hoboken, Nj
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJun 16, 2008 to May 16, 2011 · Melville, Ny
- I••••• F•••••••• C••••••••• formerApr 18, 2005 to Jun 11, 2008 · Verona, Nj
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJan 25, 2005 to Apr 12, 2005 · Melville, Ny
- I••••• F•••••••• C••••••••• formerOct 20, 2003 to Jun 2, 2004 · Jersey City, Nj
Moves
a registration end followed by a registration begin elsewhere
- C••••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 7, 2023, registered Nov 8, 2023 (1 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••• F•••••••• C••••••••• to C••••• I••••••••• A••••••• L••left Dec 6, 2017, registered Dec 7, 2017 (1 days) · Other · moved with a team
- E•••• N••••••• S••••••••• I••• to I••••• F•••••••• C•••••••••left Oct 15, 2015, registered Oct 13, 2015 (-2 days) · Other · moved with a team
- S•••••••• S••••••••• to E•••• N••••••• S••••••••• I•••left Aug 2, 2013, registered Aug 6, 2013 (4 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- C•••••• O•• F•••••••• A••••••• L•• to L•• F•••••••• L••left May 16, 2011, registered May 31, 2011 (15 days) · Other
- I••••• F•••••••• C••••••••• to C•••••• O•• F•••••••• A••••••• L••left Jun 11, 2008, registered Jun 16, 2008 (5 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to I••••• F•••••••• C•••••••••left Apr 12, 2005, registered Apr 18, 2005 (6 days) · Other
- I••••• F•••••••• C••••••••• to C•••••• O•• F•••••••• A••••••• L••left Jun 2, 2004, registered Jan 25, 2005 (237 days) · Other
Signals
- G•••••• A•••••• L•••• left C••••••• S••••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2023-11-08)Nov 7, 2023 · Advisor changed firm · fact
- G•••••• A•••••• L•••• left C••••• I••••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2022-08-17)Aug 17, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address