DFX Intelligence
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Registered advisor
D••••• G•• C•••
Feed of 09/14/2026
Also filed as D•• C••••••••• G•• C••••••••• G•• C••••
At current firm
1 y
since Nov 14, 2024
In the industry
29 y
since Feb 6, 1997 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Clermont, Fl
- P•••• S••••••••• L•• no RAUMNov 20, 2020 to Nov 14, 2024 · North Bethesda, Md
- C••••• A••••••• L•• formerAug 10, 2012 to Nov 17, 2020 · Webster, Ny
- U•• F•••••••• S••••••• I••• wirehouseDec 11, 2008 to Aug 17, 2012 · Baltimore, Md
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Dec 15, 2008 · Annapolis, Md
- M••••• S•••••• D• I••• unclassifiedOct 8, 2004 to Apr 2, 2007 · Annapolis, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 5, 2002 to Oct 11, 2004 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to P•••• S••••••••• L••left Nov 17, 2020, registered Nov 20, 2020 (3 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to C••••• A••••••• L••left Aug 17, 2012, registered Aug 10, 2012 (-7 days) · Other
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Dec 15, 2008, registered Dec 11, 2008 (-4 days) · corporate re-registration, not a move
- 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Oct 11, 2004, registered Oct 8, 2004 (-3 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address