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•••••• L•

C•••••••• G••••• M•••••• I•••BD affiliatedRockville, Mddual registrantIAPD 5922896

Feed of 09/14/2026

At current firm

1 y

since May 5, 2025

In the industry

14 y

since Mar 17, 2012 (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

C•••••••• G••••• M•••••• I••• BD affiliated current
since May 5, 2025 · Rockville, Md
T• P•••••• C••••• W••••• L•• BD affiliated
May 13, 2024 to Jul 2, 2024 · Springfield, Va
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 25, 2020 to Apr 23, 2024 · Newark, Ca
H•••••• S••••••••• I••• BD affiliated
Apr 21, 2020 to Aug 26, 2020 · San Francisco, Ca
M••••• S•••••• wirehouse
Apr 9, 2018 to Aug 17, 2018 · Pasadena, Ca
J••• M••••• S••••••••• L•• wirehouse
Nov 21, 2016 to Jan 3, 2017 · Oakland, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 23, 2016 to Aug 10, 2016 · San Francisco, Ca
H••• S••••••••• •••• I••• BD affiliated
Dec 8, 2015 to Apr 26, 2016 · Millbrae, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 27, 2014 to Nov 27, 2015 · Sugarland, Tx

Moves

a registration end followed by a registration begin elsewhere

T• P•••••• C••••• W••••• L•• to C•••••••• G••••• M•••••• I•••
left Jul 2, 2024, registered May 5, 2025 (307 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to T• P•••••• C••••• W••••• L••
left Apr 23, 2024, registered May 13, 2024 (20 days) · Affiliated broker-dealer or bank to another
H•••••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••
left Aug 26, 2020, registered Aug 25, 2020 (-1 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• to H•••••• S••••••••• I•••
left Aug 17, 2018, registered Apr 21, 2020 (613 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to M••••• S••••••
left Jan 3, 2017, registered Apr 9, 2018 (461 days) · Wirehouse to wirehouse · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Aug 10, 2016, registered Nov 21, 2016 (103 days) · Wirehouse to wirehouse · moved with a team
H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 26, 2016, registered Jun 23, 2016 (58 days) · Other
C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••
left Nov 27, 2015, registered Dec 8, 2015 (11 days) · Other

Signals

Y•••••• L• left T• P•••••• C••••• W••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2025-05-05)
Jul 2, 2024 · Advisor changed firm · fact
Y•••••• L• left C•••••••• G••••• M•••••• I••• for T• P•••••• C••••• W••••• L•• (registered 2024-05-13)
Apr 23, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address