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

C•••• G••••••••

E••••• J••••national BDGarland, Txdual registrantIAPD 6912097

Feed of 09/14/2026

Also filed as C•••• G••••••••

At current firm

3 y

since Oct 28, 2022

In the industry

33 y

since Jul 1, 1993 (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

E••••• J•••• national BD current
since Oct 28, 2022 · Garland, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 26, 2022 to Aug 17, 2022 · Wylie, Tx
F••••• I••••••••• independent RIA
Feb 17, 2022 to Apr 6, 2022 · Plano, Tx
E••••• J•••• national BD
Jun 5, 2018 to Jan 20, 2022 · Rockwall, Tx

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Aug 17, 2022, registered Oct 28, 2022 (72 days) · Wirehouse to affiliated broker-dealer or bank
F••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 6, 2022, registered Jul 26, 2022 (111 days) · RIA to wirehouse · moved with a team
E••••• J•••• to F••••• I•••••••••
left Jan 20, 2022, registered Feb 17, 2022 (28 days) · Affiliated broker-dealer or bank to independent RIA

Signals

C•••• G•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for E••••• J•••• (registered 2022-10-28)
Aug 17, 2022 · Advisor changed firm · fact
C•••• G•••••••• left F••••• I••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-07-26)
Apr 6, 2022 · Advisor changed firm · fact
C•••• G•••••••• left E••••• J•••• for F••••• I••••••••• (registered 2022-02-17)
Jan 20, 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: National broker-dealer RIAderived
Years in industry: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address