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•••••• R••••••••

S•••••• C•••••• A••••••• L••BD affiliatedNew York, Ny dual registrantIAPD 5452850

Feed of 09/15/2026

Also filed as G•••••• R••••••••

At current firm

0 y

since Jul 8, 2026

In the industry

18 y

since Feb 29, 2008 (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

S•••••• C•••••• A••••••• L•• BD affiliated current
since Jul 8, 2026 · New York, Ny
W•••• F•••• A••••••• wirehouse
Dec 15, 2017 to Jun 18, 2026 · Houston, Tx
J••• M••••• S••••••••• L•• wirehouse
Jan 4, 2016 to Jan 3, 2018 · Houston, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 24, 2011 to Dec 23, 2015 · Sugar Land, Tx
E••••• J•••• national BD
Mar 12, 2008 to Jun 28, 2011 · Houston, Tx

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to S•••••• C•••••• A••••••• L••
left Jun 18, 2026, registered Jul 8, 2026 (20 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2018, registered Dec 15, 2017 (-19 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Dec 23, 2015, registered Jan 4, 2016 (12 days) · Wirehouse to wirehouse
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jun 28, 2011, registered Jun 24, 2011 (-4 days) · Affiliated broker-dealer or bank to wirehouse

Signals

G•••••• A•••••• R•••••••• left W•••• F•••• A••••••• for S•••••• C•••••• A••••••• L•• (registered 2026-07-08)
Jun 18, 2026 · 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: 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