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.

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Registered advisor

G••• K•• S•••

C••••••• P•••••••independent RIAIrvine, Ca IA-onlyIAPD 6547136

Certified Financial Planner

Feed of 09/15/2026

Also filed as Gina Nguyen

At current firm

0 y

since Apr 30, 2026

In the industry

11 y

since Sep 1, 2015 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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••••••• P••••••• independent RIA current
since Apr 30, 2026 · Irvine, Ca
M••••• S•••••• wirehouse
Aug 18, 2023 to May 9, 2025 · Los Angeles, Ca
W•••• F•••• A••••••• wirehouse
May 4, 2023 to Jul 24, 2023 · Beverly Hills, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Mar 3, 2023 to May 23, 2023 · Los Angeles, Ca
M••••• S•••••• wirehouse
Dec 18, 2017 to Mar 27, 2023 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to C••••••• P•••••••
left May 9, 2025, registered Apr 30, 2026 (356 days) · Wirehouse to independent RIA
W•••• F•••• A••••••• to M••••• S••••••
left Jul 24, 2023, registered Aug 18, 2023 (25 days) · Wirehouse to wirehouse · moved with a team
J••• M••••• P•••••• W••••• A••••••• L•• to W•••• F•••• A•••••••
left May 23, 2023, registered May 4, 2023 (-19 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
M••••• S•••••• to J••• M••••• P•••••• W••••• A••••••• L••
left Mar 27, 2023, registered Mar 3, 2023 (-24 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

Signals

G••• K•• S••• left M••••• S•••••• for C••••••• P••••••• (registered 2026-04-30)
May 9, 2025 · Advisor changed firm · fact
G••• K•• S••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2023-08-18)
Jul 24, 2023 · Advisor changed firm · fact
G••• K•• S••• left J••• M••••• P•••••• W••••• A••••••• L•• for W•••• F•••• A••••••• (registered 2023-05-04)
May 23, 2023 · Advisor changed firm · fact
G••• K•• S••• left M••••• S•••••• for J••• M••••• P•••••• W••••• A••••••• L•• (registered 2023-03-03)
Mar 27, 2023 · 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: Independent wealth managerderived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address