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

X•••••• C•••

C•••••••• G••••• M•••••• I•••BD affiliatedSan Francisco, Ca dual registrantIAPD 6203635

Feed of 09/15/2026

Also filed as X•••••• C•••

At current firm

4 y

since Feb 9, 2022

In the industry

13 y

since May 1, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

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 Feb 9, 2022 · San Francisco, Ca
C•••••• S••••• • C••• I••• national BD
Jan 10, 2020 to Feb 4, 2022 · Berkeley, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Mar 28, 2019 to Jan 21, 2020 · San Francisco, Ca
L•• F•••••••• L•• BD affiliated
Sep 10, 2018 to Mar 27, 2019 · San Francisco, Ca
Q•••••• C•••••• M••••••••• former
Oct 25, 2014 to Nov 8, 2016 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to C•••••••• G••••• M•••••• I•••
left Feb 4, 2022, registered Feb 9, 2022 (5 days) · Affiliated broker-dealer or bank to another
C•••••••• G••••• M•••••• I••• to C•••••• S••••• • C••• I•••
left Jan 21, 2020, registered Jan 10, 2020 (-11 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to C•••••••• G••••• M•••••• I•••
left Mar 27, 2019, registered Mar 28, 2019 (1 days) · RIA to affiliated broker-dealer or bank
Q•••••• C•••••• M••••••••• to L•• F•••••••• L••
left Nov 8, 2016, registered Sep 10, 2018 (671 days) · Other

Signals

X•••••• C••• left C•••••• S••••• • C••• I••• for C•••••••• G••••• M•••••• I••• (registered 2022-02-09)
Feb 4, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address