DFX Intelligence
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Registered advisor
R•••••• G•••• H••••••
Feed of 09/14/2026
At current firm
5 y
since Jan 15, 2021
In the industry
40 y
since Apr 9, 1986 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- W•••• F•••• A••••••• wirehouse currentsince Jan 15, 2021 · Red Bank, Nj
- U•• F•••••••• S••••••• I••• wirehouseSep 30, 2010 to Feb 11, 2021 · Wall, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 22, 2010 · M•••••Ville, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 24, 2003 to Jun 1, 2009 · M•••••Ville, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 3, 1992 to Apr 22, 2003 · Freehold, Nj
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Feb 11, 2021, registered Jan 15, 2021 (-27 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Oct 22, 2010, registered Sep 30, 2010 (-22 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Apr 22, 2003, registered Apr 24, 2003 (2 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
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address