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

A•• L••••• G••••

W•••• F•••• A•••••••wirehouseDallas, Tx dual registrantIAPD 7111758

Feed of 09/15/2026

Also filed as Aja L G••••

At current firm

1 y

since Oct 28, 2024

In the industry

12 y

since Aug 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Oct 28, 2024 · Plano, Tx
P•• W••••• M••••••••• BD affiliated
Aug 9, 2023 to Oct 30, 2024 · Plano, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Aug 17, 2022 to Aug 18, 2023 · Dallas, Tx
W•••• F•••• A••••••• wirehouse
Jan 1, 2022 to Jul 13, 2022 · Columbia, Md

Moves

a registration end followed by a registration begin elsewhere

P•• W••••• M••••••••• to W•••• F•••• A•••••••
left Oct 30, 2024, registered Oct 28, 2024 (-2 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••
left Aug 18, 2023, registered Aug 9, 2023 (-9 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 13, 2022, registered Aug 17, 2022 (35 days) · Wirehouse to wirehouse

Signals

A•• L••••• G•••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2024-10-28)
Oct 30, 2024 · Advisor changed firm · fact
A•• L••••• G•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for P•• W••••• M••••••••• (registered 2023-08-09)
Aug 18, 2023 · Advisor changed firm · fact
A•• L••••• G•••• left W•••• F•••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-08-17)
Jul 13, 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: Wirehousederived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address