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•••• A•••• W••••••

A•••••• P•••••• W••••• L••state registeredCardiff By The Sea, CaIA-onlyIAPD 5210397

Certified Financial Planner

Feed of 09/14/2026

Also filed as A•••• G•••• W••••••

At current firm

0 y

since Feb 5, 2026

In the industry

16 y

since Oct 26, 2009 (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

A•••••• P•••••• W••••• L•• state registered current
since Feb 5, 2026 · Cardiff By The Sea, Ca
C•••••• independent RIA
Sep 15, 2022 to Jan 23, 2025 · San Diego, Ca
D•••••• • Y•••••• L•• former
Dec 15, 2016 to Mar 31, 2023 · San Diego, Ca
A•••••• W••••• L• independent RIA
Feb 21, 2012 to Jul 25, 2016 · Carlsbad, Ca
U••••• C•••••• F•••••••• A••••••• independent RIA
Nov 17, 2010 to Apr 3, 2012 · San Diego, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••• to A•••••• P•••••• W••••• L••
left Jan 23, 2025, registered Feb 5, 2026 (378 days) · RIA to a state-registered adviser
D•••••• • Y•••••• L•• to C••••••
left Mar 31, 2023, registered Sep 15, 2022 (-197 days) · RIA to RIA · moved with a team
A•••••• W••••• L• to D•••••• • Y•••••• L••
left Jul 25, 2016, registered Dec 15, 2016 (143 days) · Other
U••••• C•••••• F•••••••• A••••••• to A•••••• W••••• L•
left Apr 3, 2012, registered Feb 21, 2012 (-42 days) · Other

Signals

G•••• A•••• W•••••• left Corient for A•••••• P•••••• W••••• L•• (registered 2026-02-05)
Jan 23, 2025 · Advisor changed firm · fact
G•••• A•••• W•••••• left D•••••• • Y•••••• L•• for Corient (registered 2022-09-15)
Mar 31, 2023 · 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: STATE REGISTEREDderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address