DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••••• S•••••• G•••••••
Feed of 09/14/2026
Also filed as R••••• G••••••••• S•••••• G••••••••• G••••••••• S•••••• G••••••••• G••••••••• S•••••• G•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
16 y
since Aug 1, 2010 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Culver City, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 30, 2020 to Mar 31, 2025 · Los Angeles, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 12, 2017 to Oct 9, 2020 · San Mateo, Ca
- T• A••••••••• I••• formerJun 12, 2017 to Oct 9, 2020 · San Mateo, Ca
- W•••••• • R••• formerFeb 7, 2011 to Jun 2, 2017 · San Mateo, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 9, 2020, registered Jun 12, 2017 (-1215 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 9, 2020, registered Jun 12, 2017 (-1215 days) · Other
- W•••••• • R••• to T• A••••••••• I••••••••• M••••••••• L••left Jun 2, 2017, registered Jun 12, 2017 (10 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address