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

C••••••••• L•• G•••• T•••

V••••••• A•••••••• I•••BD affiliatedPlano, Txdual registrantIAPD 2969348

Feed of 09/14/2026

Also filed as C••••••••• L•• G•••• T•••

At current firm

3 y

since Dec 9, 2022

In the industry

20 y

since Mar 20, 2006 (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

V••••••• A•••••••• I••• BD affiliated current
since Dec 9, 2022 · Plano, Tx
G•••• former
Jan 15, 2021 to Aug 8, 2022 · Frisco, Tx
G•••• former
Jun 23, 2020 to Jan 15, 2021 · Frisco, Tx
C•••••• A••••••• S•••••••• I•• independent RIA
Sep 12, 2019 to Mar 5, 2020 · Frisco, Tx
T• A••••••••• I••• former
Feb 27, 2018 to Sep 11, 2019 · Garland, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Sep 11, 2019 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Jan 27, 2017 to Feb 26, 2018 · Saint Louis, Mo
U••• F•••••••• P••••••• S••••••• former
Jun 1, 2011 to Jun 21, 2016 · Addison, Tx
1•• G••••• A••••••• I•• former
Dec 9, 2009 to Mar 30, 2011 · Dallas, Tx
C•••• I••••••••• S••••••• C•••• former
Dec 17, 2007 to Dec 2, 2009 · Frisco, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 27, 2006 to Dec 7, 2007 · Dallas, Tx

Moves

a registration end followed by a registration begin elsewhere

G•••• to V••••••• A•••••••• I•••
left Aug 8, 2022, registered Dec 9, 2022 (123 days) · Other
C•••••• A••••••• S•••••••• I•• to G••••
left Mar 5, 2020, registered Jun 23, 2020 (110 days) · RIA to a newly registered adviser
T• A••••••••• I••• to C•••••• A••••••• S•••••••• I••
left Sep 11, 2019, registered Sep 12, 2019 (1 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Sep 11, 2019, registered Feb 27, 2018 (-561 days) · corporate re-registration, not a move
S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
U••• F•••••••• P••••••• S••••••• to S•••••••• I••••••••• M•••••••••
left Jun 21, 2016, registered Jan 27, 2017 (220 days) · Other
1•• G••••• A••••••• I•• to U••• F•••••••• P••••••• S•••••••
left Mar 30, 2011, registered Jun 1, 2011 (63 days) · Other
C•••• I••••••••• S••••••• C•••• to 1•• G••••• A••••••• I••
left Dec 2, 2009, registered Dec 9, 2009 (7 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••
left Dec 7, 2007, registered Dec 17, 2007 (10 days) · Other

Signals

C••••••••• L•• G•••• T••• left Gann? for V••••••• A•••••••• I••• (registered 2022-12-09)
Aug 8, 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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address