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

M•••••• C••• G••••

I••••••••• L••••• F•state registeredNew Braunfelss, Tx IA-onlyIAPD 6577073

Certified Financial Planner

Feed of 09/15/2026

Also filed as C••• G••••

At current firm

1 y

since Jul 23, 2025

In the industry

10 y

since Oct 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, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• L••••• F• state registered current
since Jul 23, 2025 · New Braunfelss, Tx
C•••••• S••••• • C••• I••• national BD
Sep 8, 2022 to Nov 13, 2023 · Westlake, Tx
E•••••• A••••••• G••••• L•• BD affiliated
Nov 12, 2021 to Jul 26, 2022 · Greenwood Village, Co
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Mar 26, 2021 · Boston, Ma
S•••••••• A••••••• L•• national BD
Oct 4, 2017 to Jul 13, 2018 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to I••••••••• L••••• F•
left Nov 13, 2023, registered Jul 23, 2025 (618 days) · Affiliated broker-dealer or bank to a state-registered adviser
E•••••• A••••••• G••••• L•• to C•••••• S••••• • C••• I•••
left Jul 26, 2022, registered Sep 8, 2022 (44 days) · Affiliated broker-dealer or bank to another
F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• A••••••• G••••• L••
left Mar 26, 2021, registered Nov 12, 2021 (231 days) · Other
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

M•••••• C••• G•••• left C•••••• S••••• • C••• I••• for I••••••••• L••••• F• (registered 2025-07-23)
Nov 13, 2023 · Advisor changed firm · fact
M•••••• C••• G•••• left E•••••• A••••••• G••••• L•• for C•••••• S••••• • C••• I••• (registered 2022-09-08)
Jul 26, 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: STATE REGISTEREDderived
Years in industry: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address