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•••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedWindham, Nhdual registrantIAPD 2785932

Feed of 09/14/2026

Also filed as G••• Thomas G•••••

At current firm

5 y

since Jan 11, 2021

In the industry

17 y

since May 13, 2009 (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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Jan 11, 2021 · Windham, Nh
C••••••• S••••••••• I••• BD affiliated
Jan 24, 2020 to Jan 5, 2021 · Woburn, Ma
S•••••••• S••••••••• BD affiliated
Jun 9, 2016 to Dec 17, 2019 · Weston, Ma
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 31, 2015 to Feb 16, 2016 · Manchester, Nh
G••••• C•••••• M••••••••• L•• unclassified
Jun 10, 2009 to Nov 21, 2014 · Windham, Nh

Moves

a registration end followed by a registration begin elsewhere

C••••••• S••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 5, 2021, registered Jan 11, 2021 (6 days) · Affiliated broker-dealer or bank to another
S•••••••• S••••••••• to C••••••• S••••••••• I•••
left Dec 17, 2019, registered Jan 24, 2020 (38 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• S•••••••••
left Feb 16, 2016, registered Jun 9, 2016 (114 days) · Other
G••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 21, 2014, registered Mar 31, 2015 (130 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address