DFX Intelligence
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Registered advisor
G•••••• L••••• C••••••
Feed of 09/14/2026
At current firm
14 y
since Nov 23, 2011
In the industry
43 y
since Nov 22, 1982 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Nov 23, 2011 · San Rafael, Ca
- L•• F•••••••• L•• BD affiliatedDec 31, 2000 to Dec 6, 2011 · San Rafael, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Dec 6, 2011, registered Nov 23, 2011 (-13 days) · Other
Signals
No dated event on this person.
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address