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.
Registered advisor
Gary Scott Waller
Certified Financial Planner
Feed of 09/14/2026
Also filed as Garrick Waller
At current firm
17 y
since Dec 10, 2008
In the industry
24 y
since Jul 11, 2002 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
7
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Hilltop Securities Inc. BD affiliated currentsince Dec 10, 2008 · Roseville, Ca
- M.L. Stern & Co., LLC. unclassifiedJul 10, 2006 to Dec 22, 2008 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- M.L. Stern & Co., LLC. to Hilltop Securities Inc.left Dec 22, 2008, registered Dec 10, 2008 (-12 days) · corporate re-registration, not a move
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address