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

N••••••• G•••••

C••••• I••••••••• A••••••• L••BD affiliatedHixson, Tndual registrantIAPD 6370707

Feed of 09/14/2026

Also filed as N••••••• Michael G•••••

At current firm

2 y

since Apr 29, 2024

In the industry

12 y

since Sep 12, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Apr 29, 2024 · Hixson, Tn
P•••• S••••••••• L•• no RAUM
Sep 28, 2023 to Feb 15, 2024 · Atlanta, Ga
W•••• F•••• A••••••• wirehouse
May 1, 2023 to Oct 10, 2023 · Atlanta, Ga
C••••• I••••••••• A••••••• L•• BD affiliated
Aug 11, 2021 to Apr 27, 2022 · Sayre, Pa

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to C••••• I••••••••• A••••••• L••
left Feb 15, 2024, registered Apr 29, 2024 (74 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to P•••• S••••••••• L••
left Oct 10, 2023, registered Sep 28, 2023 (-12 days) · Wirehouse to affiliated broker-dealer or bank
C••••• I••••••••• A••••••• L•• to W•••• F•••• A•••••••
left Apr 27, 2022, registered May 1, 2023 (369 days) · Affiliated broker-dealer or bank to wirehouse

Signals

N••••••• G••••• left P•••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2024-04-29)
Feb 15, 2024 · Advisor changed firm · fact
N••••••• G••••• left W•••• F•••• A••••••• for P•••• S••••••••• L•• (registered 2023-09-28)
Oct 10, 2023 · Advisor changed firm · fact
N••••••• G••••• left C••••• I••••••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2023-05-01)
Apr 27, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address