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

S••••• G••••••

I••••••••• F•••••••• G••••• L••BD affiliatedSan Diego, Cadual registrantIAPD 4237168

Certified Financial Planner

Feed of 09/14/2026

Also filed as S••••• E G••••••

At current firm

1 y

since Jul 28, 2025

In the industry

25 y

since Oct 31, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• F•••••••• G••••• L•• BD affiliated current
since Jul 28, 2025 · San Diego, Ca
I••••••••• A•••••• A•••••••• L•• i••••••••• wealth
Nov 6, 2018 to Jul 22, 2024 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Jun 26, 2006 to Aug 5, 2025 · Charlotte, Nc
T•• H••••• G•••• unclassified
Nov 4, 2005 to May 31, 2006 · La Jolla, Ca
C••••••••• F•••••••• N•••••• national BD
Nov 1, 2005 to Jun 2, 2006 · La Jolla, Ca
L•• F•••••••• L•• BD affiliated
Mar 16, 2005 to Oct 21, 2005 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to I••••••••• A•••••• A•••••••• L••
left Aug 5, 2025, registered Nov 6, 2018 (-2464 days) · Affiliated broker-dealer or bank to independent RIA
I••••••••• A•••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••
left Jul 22, 2024, registered Jul 28, 2025 (371 days) · RIA to affiliated broker-dealer or bank
C••••••••• F•••••••• N•••••• to T•• H••••• G••••
left Jun 2, 2006, registered Nov 4, 2005 (-210 days) · Other
T•• H••••• G•••• to L•• F•••••••• L••
left May 31, 2006, registered Jun 26, 2006 (26 days) · Other
L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
left Oct 21, 2005, registered Nov 1, 2005 (11 days) · Other

Signals

S••••• G•••••• no longer holds an investment adviser registration (last listed at I••••••••• F•••••••• G••••• L•• on the 2026-09-17 feed)
Sep 17, 2026 · a•••••• registration ended · derived
S••••• G•••••• left L•• F•••••••• L•• for I••••••••• A•••••• A•••••••• L•• (registered 2018-11-06)
Aug 5, 2025 · a•••••• firm change · fact
S••••• G•••••• left I••••••••• A•••••• A•••••••• L•• for I••••••••• F•••••••• G••••• L•• (registered 2025-07-28)
Jul 22, 2024 · a•••••• firm change · 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address