DFX Intelligence
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Registered advisor
R••• A• G••••••••
Feed of 09/15/2026
Also filed as R••• A••••• G••••••••
At current firm
14 y
since Jul 13, 2012
In the industry
36 y
since Oct 5, 1989 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jul 13, 2012 · Saint Petersburg, Fl
- E•••••••• A•••••••• L•• national BDMay 3, 2006 to Jun 27, 2011 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 6, 2003 to Apr 17, 2006 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Jun 27, 2011, registered Jul 13, 2012 (382 days) · Other
- C•••• I••••••••• S••••••• C•••• to E•••••••• A•••••••• L••left Apr 17, 2006, registered May 3, 2006 (16 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address