DFX Intelligence
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Registered advisor
D•••• L•• G•••••
Feed of 09/23/2026
Also filed as D••• G•••••
At current firm
0 y
since Sep 22, 2026
In the industry
40 y
since Apr 4, 1986 (earliest exam, job or registration)
Prior registered firms
9
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S••••••••• C•••••• P••••••• L•• state registered currentsince Sep 22, 2026 · Scottsdale, Az
- G••••••• A•••••••• L•• independent RIANov 5, 2024 to Dec 19, 2024 · Scottsdale, Az
- E•••••••• P••••••• L•• state registeredSep 27, 2023 to Dec 6, 2023 · Phoenix, Az
- M•••••• W••••• P••••••• I•••••••• L•• unclassifiedMay 19, 2021 to Sep 8, 2023 · Indianapolis, In
- M•••••• W••••• P••••••• I•••••••• L•• unclassifiedMay 26, 2020 to Dec 31, 2020 · Indianapolis, In
- N••• C••••••••• BD affiliatedOct 1, 2018 to Nov 4, 2019 · Indianapolis, In
- G••••• W••••• A•••••••• L•• unclassifiedOct 4, 2017 to Oct 1, 2018 · Indianapolis, In
- S•••• W••••• M••••••••• L•• BD affiliatedJun 9, 2017 to Aug 8, 2017 · Indianapolis, In
- S••••• I••••••••• M••••••••• L•• independent RIAApr 22, 2016 to Dec 6, 2016 · Indianapolis, In
- T•••••• W••••• A•••••••• I••• formerJan 14, 2015 to Feb 2, 2016 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- G••••••• A•••••••• L•• to S••••••••• C•••••• P••••••• L••left Dec 19, 2024, registered Sep 22, 2026 (642 days) · RIA to a state-registered adviser
- E•••••••• P••••••• L•• to G••••••• A•••••••• L••left Dec 6, 2023, registered Nov 5, 2024 (335 days) · Other
- M•••••• W••••• P••••••• I•••••••• L•• to E•••••••• P••••••• L••left Sep 8, 2023, registered Sep 27, 2023 (19 days) · Other
- N••• C••••••••• to M•••••• W••••• P••••••• I•••••••• L••left Nov 4, 2019, registered May 26, 2020 (204 days) · Other
- G••••• W••••• A•••••••• L•• to N••• C•••••••••left Oct 1, 2018, registered Oct 1, 2018 (0 days) · Other
- S•••• W••••• M••••••••• L•• to G••••• W••••• A•••••••• L••left Aug 8, 2017, registered Oct 4, 2017 (57 days) · Other
- S••••• I••••••••• M••••••••• L•• to S•••• W••••• M••••••••• L••left Dec 6, 2016, registered Jun 9, 2017 (185 days) · Other
- T•••••• W••••• A•••••••• I••• to S••••• I••••••••• M••••••••• L••left Feb 2, 2016, registered Apr 22, 2016 (80 days) · Other
Signals
- ••• LockedSep 22, 2026 · Advisor registered · 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address