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.

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Registered advisor

E•••••••• F••• G•••

E••••• J••••national BDSapulpa, Okdual registrantIAPD 5746412

Feed of 09/14/2026

Also filed as Elizabeth Gaines

At current firm

2 y

since Feb 8, 2024

In the industry

12 y

since Nov 1, 2013 (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

E••••• J•••• national BD current
since Feb 8, 2024 · Sapulpa, Ok
L•• F•••••••• L•• BD affiliated
Sep 17, 2021 to Aug 18, 2023 · Owasso, Ok
D••••••••• C•••••• independent RIA
Apr 1, 2020 to Jan 25, 2023 · Tulsa, Ok
E••••• J•••• national BD
Mar 3, 2014 to Mar 4, 2020 · Sapulpa, Ok

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to E••••• J••••
left Aug 18, 2023, registered Feb 8, 2024 (174 days) · Affiliated broker-dealer or bank to another
D••••••••• C•••••• to L•• F•••••••• L••
left Jan 25, 2023, registered Sep 17, 2021 (-495 days) · RIA to affiliated broker-dealer or bank
E••••• J•••• to D••••••••• C••••••
left Mar 4, 2020, registered Apr 1, 2020 (28 days) · Affiliated broker-dealer or bank to independent RIA

Signals

E•••••••• F••• G••• left L•• F•••••••• L•• for E••••• J•••• (registered 2024-02-08)
Aug 18, 2023 · Advisor changed firm · fact
E•••••••• F••• G••• left D••••••••• C•••••• for L•• F•••••••• L•• (registered 2021-09-17)
Jan 25, 2023 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address