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

Gurvinder Kaur Aujla

Independent Financial Group, LLCBD affiliatedSan Jose, Cadual registrantIAPD 4725124

Feed of 09/14/2026

Also filed as Gurvinder Kaur

At current firm

2 y

since Sep 17, 2024

In the industry

21 y

since Sep 28, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Independent Financial Group, LLC BD affiliated current
since Sep 17, 2024 · San Jose, Ca
Avantax Advisory Services former
Nov 18, 2019 to Sep 20, 2024 · Oakland, Ca
Bancwest Investment Services, Inc. (Bwis) former
Aug 29, 2016 to Nov 20, 2019 · Mountain View, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Nov 19, 2012 to Jan 20, 2016 · Rocklin, Ca
J.P. Morgan Securities LLC wirehouse
Oct 1, 2012 to Nov 6, 2012 · Rocklin, Ca
Chase Investment Services Corp. former
May 12, 2011 to Oct 1, 2012 · Roseville, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Oct 23, 2009 to Apr 4, 2011 · Roseville, Ca
Banc Of America Investment Services, Inc. unclassified
Apr 14, 2006 to Oct 23, 2009 · Roseville, Ca

Moves

a registration end followed by a registration begin elsewhere

Avantax Advisory Services to Independent Financial Group, LLC
left Sep 20, 2024, registered Sep 17, 2024 (-3 days) · Affiliated broker-dealer or bank to another
Bancwest Investment Services, Inc. (Bwis) to Avantax Advisory Services
left Nov 20, 2019, registered Nov 18, 2019 (-2 days) · Affiliated broker-dealer or bank to another
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Bancwest Investment Services, Inc. (Bwis)
left Jan 20, 2016, registered Aug 29, 2016 (222 days) · Other
J.P. Morgan Securities LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Nov 6, 2012, registered Nov 19, 2012 (13 days) · Wirehouse to wirehouse
Chase Investment Services Corp. to J.P. Morgan Securities LLC
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Chase Investment Services Corp.
left Apr 4, 2011, registered May 12, 2011 (38 days) · Other
Banc Of America Investment Services, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move

Signals

Gurvinder Kaur Aujla left Avantax Advisory Services for Independent Financial Group, Llc (registered 2024-09-17)
Sep 20, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address