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

J•••• G•• Q••• F•••

T••••••••• W••••• P•••••••independent RIAWalnut Creek, CaIA-onlyIAPD 5243084

Certified Financial Planner

Feed of 09/14/2026

Also filed as J•••• G F•••

At current firm

2 y

since Aug 2, 2024

In the industry

19 y

since Dec 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

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••••••• W••••• P••••••• independent RIA current
since Aug 2, 2024 · Walnut Creek, Ca
E•••••• F•••••••• E•••••• independent RIA
Nov 1, 2018 to Aug 29, 2024 · Walnut Creek, Ca
E•••••• F•••••••• S•••••••• L•• former
Jul 7, 2014 to Nov 1, 2018 · Santa Clara, Ca
S•••••••• A••••••• L•• national BD
Dec 22, 2008 to Jun 23, 2014 · Berkeley, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Mar 24, 2008 to Nov 7, 2008 · Carlsbad, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Jan 1, 2007 to Mar 13, 2008 · Glendale, Ca

Moves

a registration end followed by a registration begin elsewhere

E•••••• F•••••••• E•••••• to T••••••••• W••••• P•••••••
left Aug 29, 2024, registered Aug 2, 2024 (-27 days) · RIA to a newly registered adviser
E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••
left Nov 1, 2018, registered Nov 1, 2018 (0 days) · corporate re-registration, not a move
S•••••••• A••••••• L•• to E•••••• F•••••••• S•••••••• L••
left Jun 23, 2014, registered Jul 7, 2014 (14 days) · Other
C••••• I••••••••• A••••••• L•• to S•••••••• A••••••• L••
left Nov 7, 2008, registered Dec 22, 2008 (45 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
left Mar 13, 2008, registered Mar 24, 2008 (11 days) · Other

Signals

J•••• G•• Q••• F••• left E•••••• F•••••••• E•••••• for T••••••••• W••••• P••••••• (registered 2024-08-02)
Aug 29, 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: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address