DFX Intelligence
RIA Intelligence
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Registered advisor
G••• M••••• B•••
Feed of 09/15/2026
At current firm
6 y
since Aug 10, 2020
In the industry
40 y
since Dec 23, 1985 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 10, 2020 · Southfield, Mi
- U•• F•••••••• S••••••• I••• wirehouseJan 30, 2009 to Aug 19, 2020 · Birmingham, Mi
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 2, 2009 · Birmingham, Mi
- M••••• S•••••• D• I••• unclassifiedNov 25, 2002 to Apr 2, 2007 · Birmingham, Mi
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 19, 2020, registered Aug 10, 2020 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Feb 2, 2009, registered Jan 30, 2009 (-3 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address