DFX Intelligence
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Registered advisor
G••••• S•••• J•••••••••
Feed of 09/14/2026
Also filed as G••••• S•••• J•••••••••
At current firm
8 y
since Nov 29, 2017
In the industry
42 y
since Oct 26, 1983 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · North Reading, Ma
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 5, 2007 to Dec 6, 2017 · South Windsor, Ct
- O•••• F•• I••• formerJun 20, 2005 to Apr 4, 2006 · North Reading, Ma
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Dec 6, 2017, registered Nov 29, 2017 (-7 days) · corporate re-registration, not a move
- O•••• F•• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Apr 4, 2006, registered Mar 5, 2007 (335 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address