DFX Intelligence
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Registered advisor
B•••• G• P•••••
Feed of 09/14/2026
Also filed as B•••• G•••••• P••••••••• G• P•••••
At current firm
1 y
since Sep 5, 2025
In the industry
36 y
since Oct 4, 1989 (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
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Dallas, Tx
- A•••••• A••••••• S••••••• formerSep 15, 2022 to Sep 5, 2025 · Dallas, Tx
- P••• A••••• S••••••••• L•• BD affiliatedMar 3, 2015 to May 24, 2022 · Addison, Tx
- A•••••• A••••••• S••••••• formerFeb 4, 2014 to Feb 16, 2015 · Hurst, Tx
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 26, 2009 to Jun 20, 2012 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to A•••••• A••••••• S•••••••left May 24, 2022, registered Sep 15, 2022 (114 days) · Affiliated broker-dealer or bank to another
- A•••••• A••••••• S••••••• to P••• A••••• S••••••••• L••left Feb 16, 2015, registered Mar 3, 2015 (15 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to A•••••• A••••••• S•••••••left Jun 20, 2012, registered Feb 4, 2014 (594 days) · Other
Signals
- ••• LockedMay 24, 2022 · Advisor changed firm · 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
- 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