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

Y••••• A••••

I••••••••• F•••••••• G••••• L••BD affiliatedSan Jose, Cadual registrantIAPD 5451336

Certified Financial Planner

Feed of 09/14/2026

Also filed as Y••••• A••••

At current firm

7 y

since Sep 5, 2019

In the industry

18 y

since Mar 3, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• F•••••••• G••••• L•• BD affiliated current
since Sep 5, 2019 · San Jose, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 27, 2011 to Nov 1, 2013 · E. Palo Alto, Ca
T• A••••••••• I••• former
Jul 27, 2011 to Nov 1, 2013 · Menlo Park, Ca
W•••• F•••• A••••••• wirehouse
Jul 30, 2009 to Jul 26, 2011 · San Francisco, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Mar 4, 2008 to Mar 25, 2009 · Walnut Creek, Ca

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••••••••• M••••••••• L•• to I••••••••• F•••••••• G••••• L••
left Nov 1, 2013, registered Sep 5, 2019 (2134 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 1, 2013, registered Jul 27, 2011 (-828 days) · channel change inside one enterprise, not a move
W•••• F•••• A••••••• to T• A••••••••• I•••
left Jul 26, 2011, registered Jul 27, 2011 (1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••
left Mar 25, 2009, registered Jul 30, 2009 (127 days) · Other

Signals

No dated event on this person.

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