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

G••••••• T••••••

B•••••••• A•••• M••••••••• L••independent RIAReno, Nv IA-onlyIAPD 4789778

Feed of 09/15/2026

At current firm

3 y

since Nov 8, 2022

In the industry

20 y

since Jul 28, 2006 (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

B•••••••• A•••• M••••••••• L•• independent RIA current
since Nov 8, 2022 · Clayton, Nc
T••• I••••••••• A•••••••• L•• independent RIA
Oct 9, 2015 to Mar 21, 2016 · Laguna Niguel, Ca
C••••• • A••••••••• I••• independent RIA
Oct 1, 2014 to Feb 26, 2015 · Newport Beach, Ca
C•••• I••••••••• S••••••• C•••• former
Nov 21, 2011 to Jan 25, 2012 · Irvine, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Oct 17, 2011 · Irvine, Ca
W•••• F•••• I••••••••• L•• unclassified
Jun 16, 2008 to Jan 3, 2011 · Newport Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

T••• I••••••••• A•••••••• L•• to B•••••••• A•••• M••••••••• L••
left Mar 21, 2016, registered Nov 8, 2022 (2423 days) · Other · moved with a team
C••••• • A••••••••• I••• to T••• I••••••••• A•••••••• L••
left Feb 26, 2015, registered Oct 9, 2015 (225 days) · Other · moved with a team
C•••• I••••••••• S••••••• C•••• to C••••• • A••••••••• I•••
left Jan 25, 2012, registered Oct 1, 2014 (980 days) · Other
W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••
left Oct 17, 2011, registered Nov 21, 2011 (35 days) · Other
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 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: Independent wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address