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••••• C•••

W•••• F•••• A•••••••wirehousePasadena, Ca dual registrantIAPD 6087202

Feed of 09/15/2026

Also filed as G••••• Hsninmei C•••

At current firm

1 y

since Jan 7, 2025

In the industry

13 y

since Mar 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, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Jan 7, 2025 · Pasadena, Ca
L•• F•••••••• L•• BD affiliated
Jul 19, 2023 to Jan 9, 2025 · Monterey Park, Ca
B••••••• I••••••••• S•••••••• I••• ••••• former
Jun 3, 2022 to Jul 19, 2023 · Pasadena, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Aug 20, 2020 to May 5, 2022 · Burbank, Ca

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to W•••• F•••• A•••••••
left Jan 9, 2025, registered Jan 7, 2025 (-2 days) · Affiliated broker-dealer or bank to wirehouse
B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••
left Jul 19, 2023, registered Jul 19, 2023 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••
left May 5, 2022, registered Jun 3, 2022 (29 days) · Affiliated broker-dealer or bank to another

Signals

G••••• C••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2025-01-07)
Jan 9, 2025 · Advisor changed firm · fact
G••••• C••• left C•••••••• G••••• M•••••• I••• for B••••••• I••••••••• S•••••••• I••• ••••• (registered 2022-06-03)
May 5, 2022 · 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: Wirehousederived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address