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

A••• G•••••••• M•••••••

C•••••••institutionalSacramento, Cadual registrantIAPD 4719121

Feed of 09/14/2026

Also filed as A••• G•••••••• M•••••••

At current firm

2 y

since Jan 24, 2024

In the industry

18 y

since Oct 12, 2007 (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

C••••••• institutional current
since Jan 24, 2024 · Sacramento, Ca
L•• F•••••••• L•• BD affiliated
Oct 4, 2021 to Jan 17, 2024 · Roseville, Ca
K•• F•••••••• S•••••••• I•• former
Jan 3, 2019 to Oct 22, 2019 · Auburn, Ca
C••• F•••••••• S•••••••• L••• former
Sep 25, 2017 to Dec 21, 2018 · Elk Grove, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Feb 8, 2016 to Sep 28, 2017 · Gold River, Ca
W•••• F•••• A••••••• wirehouse
Aug 2, 2013 to Dec 15, 2015 · Roseville, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Mar 4, 2013 · Orinda, Ca
M••••• S•••••• • C•• L•• unclassified
Jan 24, 2008 to Jun 1, 2009 · Orinda, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C•••••••
left Jan 17, 2024, registered Jan 24, 2024 (7 days) · Other
K•• F•••••••• S•••••••• I•• to L•• F•••••••• L••
left Oct 22, 2019, registered Oct 4, 2021 (713 days) · Affiliated broker-dealer or bank to another
C••• F•••••••• S•••••••• L••• to K•• F•••••••• S•••••••• I••
left Dec 21, 2018, registered Jan 3, 2019 (13 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••
left Sep 28, 2017, registered Sep 25, 2017 (-3 days) · Other
W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
left Dec 15, 2015, registered Feb 8, 2016 (55 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to W•••• F•••• A•••••••
left Mar 4, 2013, registered Aug 2, 2013 (151 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

A••• G•••••••• M••••••• left L•• F•••••••• L•• for Captrust (registered 2024-01-24)
Jan 17, 2024 · 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: Institutional managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address