DFX Intelligence
RIA Intelligence
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Registered advisor
D•••• G••• B•••••••
Chartered Financial Consultant
Feed of 09/14/2026
At current firm
5 y
since Aug 3, 2021
In the industry
28 y
since Jul 20, 1998 (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
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 Aug 3, 2021 · Hilton Head, Sc
- C•••••• G•••• • C• I•• formerMay 10, 2017 to Sep 19, 2018 · Rochester, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 5, 2015 to May 8, 2017 · Rochester, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Sep 19, 2018, registered Aug 3, 2021 (1049 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•• I•••••••• S•••••••• L•• to C•••••• G•••• • C• I••left May 8, 2017, registered May 10, 2017 (2 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address