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

C••••••••• G• J•••••

C•••••• S••••• • C••• I•••national BDWestlake, Tx dual registrantIAPD 5332565

Feed of 09/15/2026

Also filed as C••••••••• J•••••

At current firm

1 y

since Jun 27, 2025

In the industry

15 y

since Sep 29, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jun 27, 2025 · Westlake, Tx
L•• F•••••••• L•• BD affiliated
May 25, 2021 to Dec 1, 2022 · Fort Mill, Sc
C•••••• S••••• • C••• I••• national BD
Nov 30, 2018 to Jan 22, 2021 · Chicago, Il
M••••••••• I••••••••• S••••••• L•• former
Apr 30, 2013 to Nov 26, 2018 · Chicago, Il
T•••••• E••••••••• • P••••••••• I••• institutional
Oct 14, 2010 to Apr 22, 2013 · Troy, Mi

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C•••••• S••••• • C••• I•••
left Dec 1, 2022, registered Jun 27, 2025 (939 days) · RIA to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to L•• F•••••••• L••
left Jan 22, 2021, registered May 25, 2021 (123 days) · Affiliated broker-dealer or bank to another
M••••••••• I••••••••• S••••••• L•• to C•••••• S••••• • C••• I•••
left Nov 26, 2018, registered Nov 30, 2018 (4 days) · RIA to affiliated broker-dealer or bank
T•••••• E••••••••• • P••••••••• I••• to M••••••••• I••••••••• S••••••• L••
left Apr 22, 2013, registered Apr 30, 2013 (8 days) · Other

Signals

C••••••••• G• J••••• left L•• F•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-06-27)
Dec 1, 2022 · 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: National broker-dealer RIAderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address