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

G•••••• T••••••••

J•••••••• I••••••••• A••••••• L••mixed wealthNew York, Nydual registrantIAPD 7266367

Chartered Financial Analyst

Feed of 09/14/2026

Also filed as G•••••• T••••••••

At current firm

2 y

since Nov 6, 2023

In the industry

15 y

since Mar 1, 2011 (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

J•••••••• I••••••••• A••••••• L•• mixed wealth current
since Nov 6, 2023 · New York, Ny
R••••• I••••••••• A•••••••• I•• BD affiliated
May 4, 2021 to Jun 13, 2022 · Fairfield, Nj
K•• C••••• F•••••••• A•••••••• L•• independent RIA
Apr 30, 2021 to Jun 14, 2022 · Fairfield, Nj
C•••••• S••••• • C••• I••• national BD
Apr 6, 2021 to May 14, 2021 · Indianapolis, In

Moves

a registration end followed by a registration begin elsewhere

K•• C••••• F•••••••• A•••••••• L•• to R••••• I••••••••• A•••••••• I••
left Jun 14, 2022, registered May 4, 2021 (-406 days) · RIA to affiliated broker-dealer or bank
R••••• I••••••••• A•••••••• I•• to J•••••••• I••••••••• A••••••• L••
left Jun 13, 2022, registered Nov 6, 2023 (511 days) · Affiliated broker-dealer or bank to another
C•••••• S••••• • C••• I••• to K•• C••••• F•••••••• A•••••••• L••
left May 14, 2021, registered Apr 30, 2021 (-14 days) · Affiliated broker-dealer or bank to independent RIA

Signals

G•••••• T•••••••• left K•• C••••• F•••••••• A•••••••• L•• for R••••• I••••••••• A•••••••• I•• (registered 2021-05-04)
Jun 14, 2022 · Advisor changed firm · fact
G•••••• T•••••••• left R••••• I••••••••• A•••••••• I•• for J•••••••• I••••••••• A••••••• L•• (registered 2023-11-06)
Jun 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: Wealth manager with institutional or fund businessderived
Years in industry: 15derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address