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

R•••••• G••••••••

S•••••••• A••••••• L••national BDCumming, Ga dual registrantIAPD 2906856

Feed of 09/14/2026

Also filed as Ricardo D Gutierrez

At current firm

1 y

since Mar 31, 2025

In the industry

29 y

since Jul 14, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Dunwoody, Ga
F••••••• P••••••• A•• W•••••••• A••••••• former
May 10, 2024 to Mar 31, 2025 · Dunwoody, Ga
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 9, 2023 to Apr 18, 2024 · Alpharetta, Ga
E•••••• C•••••• M••••••••• L•• former
Jul 22, 2009 to Aug 14, 2023 · Arlington, Va
P••••••••• E••••• G••••• L•• unclassified
Oct 4, 2001 to Jun 26, 2003 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Apr 18, 2024, registered May 10, 2024 (22 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Aug 14, 2023, registered Nov 9, 2023 (87 days) · RIA to wirehouse · moved with a team
P••••••••• E••••• G••••• L•• to E•••••• C•••••• M••••••••• L••
left Jun 26, 2003, registered Jul 22, 2009 (2218 days) · Other

Signals

R•••••• G•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-05-10)
Apr 18, 2024 · Advisor changed firm · fact
R•••••• G•••••••• left E•••••• C•••••• M••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-11-09)
Aug 14, 2023 · 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: National broker-dealer RIAderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address