DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
R••••• G•••• R••
Feed of 09/14/2026
At current firm
6 y
since Aug 4, 2020
In the industry
37 y
since Nov 7, 1988 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 4, 2020 · Montgomery, Al
- W•••• F•••• A••••••• wirehouseAug 18, 2005 to Aug 4, 2020 · Montgomery, Al
- A• G• E•••••• • S•••• I••• unclassifiedJul 18, 2003 to Aug 18, 2005 · Montgomery, Al
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedJul 10, 2003 to Feb 25, 2005 · Birmingham, Al
- A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 7, 2003 to Jul 22, 2003 · Montgomery, Al
- U•• F•••••••• S••••••• I••• wirehouseAug 14, 2000 to Sep 10, 2002 · Montgomery, Al
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Aug 4, 2020, registered Aug 4, 2020 (0 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Aug 18, 2005, registered Aug 18, 2005 (0 days) · Other
- A•••••• I••••••••• M••••••••• C•••••• L•• to A• G• E•••••• • S•••• I•••left Feb 25, 2005, registered Jul 18, 2003 (-588 days) · Other
- A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 22, 2003, registered Jul 10, 2003 (-12 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to A•••••• I••••••••• S•••••••• I•••left Sep 10, 2002, registered Feb 7, 2003 (150 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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address