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

H••••• A••• G•••

C••• L••BD affiliatedCupertino, Ca IA-onlyIAPD 6589528

Certified Financial Planner

Feed of 09/15/2026

At current firm

2 y

since Jan 3, 2024

In the industry

10 y

since Nov 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

C••• L•• BD affiliated current
since Jan 3, 2024 · Cupertino, Ca
M••••• S•••••• wirehouse
Nov 17, 2022 to Jan 4, 2024 · Denver, Co
S••••• W••••• A•••••••• I••• no RAUM
Sep 20, 2019 to Nov 9, 2022 · Lone Tree, Co
C•••••• S••••• • C••• I••• national BD
Oct 23, 2017 to Sep 20, 2019 · Lone Tree, Co

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to C••• L••
left Jan 4, 2024, registered Jan 3, 2024 (-1 days) · Wirehouse to affiliated broker-dealer or bank
S••••• W••••• A•••••••• I••• to M••••• S••••••
left Nov 9, 2022, registered Nov 17, 2022 (8 days) · Other
C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
left Sep 20, 2019, registered Sep 20, 2019 (0 days) · channel change inside one enterprise, not a move

Signals

H••••• A••• G••• added a TX registration at C••• L••
Sep 14, 2026 · New state registration · fact
H••••• A••• G••• left M••••• S•••••• for C••• L•• (registered 2024-01-03)
Jan 4, 2024 · Advisor changed firm · fact
H••••• A••• G••• left S••••• W••••• A•••••••• I••• for M••••• S•••••• (registered 2022-11-17)
Nov 9, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address