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•••• C••••••

N•••••• F•••••••• G••••• I•••independent RIAChippewa Falls, Wi dual registrantIAPD 5433197

Feed of 09/14/2026

Also filed as C••••••••• G C••••••

At current firm

2 y

since Jan 19, 2024

In the industry

18 y

since Dec 28, 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

N•••••• F•••••••• G••••• I••• independent RIA current
since Jan 19, 2024 · Cedar Rapids, Ia
U••• B•••••• I••••••••• I••• former
Nov 20, 2019 to Jan 22, 2024 · Eau Claire, Wi
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Nov 14, 2019 · Gilbert, Az
C•••• I••••••••• S••••••• C•••• former
Jul 1, 2009 to Oct 1, 2012 · Queen Creek, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 5, 2008 to Jan 2, 2009 · Henderson, Nv

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to N•••••• F•••••••• G••••• I•••
left Jan 22, 2024, registered Jan 19, 2024 (-3 days) · Affiliated broker-dealer or bank to independent RIA
J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••
left Nov 14, 2019, registered Nov 20, 2019 (6 days) · Wirehouse to affiliated broker-dealer or bank
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••
left Jan 2, 2009, registered Jul 1, 2009 (180 days) · Other

Signals

C••••••••• G•••• C•••••• left U••• B•••••• I••••••••• I••• for N•••••• F•••••••• G••••• I••• (registered 2024-01-19)
Jan 22, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address