DFX Intelligence
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Registered advisor
D••••• G••••• L••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as D••••• G• L••••
At current firm
3 y
since Sep 11, 2023
In the industry
43 y
since Jun 1, 1983 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•••• F•••••••• S••••••• state registered currentsince Sep 11, 2023 · Tierra Verde, Fl
- C••••••••• F•••••••• N•••••• national BDJan 12, 2004 to Dec 31, 2023 · Hampton, Nh
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to L•••• F•••••••• S•••••••left Dec 31, 2023, registered Sep 11, 2023 (-111 days) · Affiliated broker-dealer or bank to a state-registered adviser
Signals
- ••• LockedDec 31, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address