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

R•••••• I• G•••••

C••••••• P•••••• W•••••BD affiliatedSan Francisco, Ca dual registrantIAPD 5168640

Feed of 09/15/2026

Also filed as Rick G•••••

At current firm

2 y

since Apr 19, 2024

In the industry

18 y

since Oct 1, 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••••••• P•••••• W••••• BD affiliated current
since Apr 19, 2024 · Tarrytown, Ny
C••••••• S••••••••• I••• BD affiliated current
since Apr 19, 2024 · Syracuse, Ny
J••• M••••• S••••••••• L•• wirehouse
Mar 26, 2024 to Apr 20, 2024 · San Francisco, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Jan 16, 2015 to Apr 22, 2024 · San Francisco, Ca
B••••••• C•••••• I••• former
Jan 21, 2009 to Jan 30, 2015 · San Francisco, Ca
L••••• B••••••• I••• unclassified
Oct 3, 2007 to Oct 15, 2008 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••
left Apr 22, 2024, registered Mar 26, 2024 (-27 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to C••••••• S••••••••• I•••
left Apr 20, 2024, registered Apr 19, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
B••••••• C•••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••
left Jan 30, 2015, registered Jan 16, 2015 (-14 days) · Other
L••••• B••••••• I••• to B••••••• C•••••• I•••
left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move

Signals

R•••••• I• G••••• left J••• M••••• S••••••••• L•• for C••••••• P•••••• W••••• (registered 2024-04-19)
Apr 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address