DFX Intelligence
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Registered advisor
D••••• G••••• A•••••
Feed of 09/15/2026
At current firm
17 y
since Sep 8, 2009
In the industry
34 y
since May 6, 1992 (earliest exam, job or registration)
Prior registered firms
3
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
- L•• F•••••••• L•• BD affiliated currentsince Sep 8, 2009 · Boalsburg, Pa
- M••••• S•••••• C••••••••• unclassifiedApr 3, 2008 to Sep 8, 2009 · State College, Pa
- F•••• A••••• A••••••• S•••••••• I••• formerJan 3, 2007 to Apr 14, 2008 · Chesterfield, Mo
- F•• A••••••• S••••••• I•• unclassifiedFeb 3, 2004 to Jan 3, 2007 · State College, Pa
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• C••••••••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
- F•••• A••••• A••••••• S•••••••• I••• to M••••• S•••••• C•••••••••left Apr 14, 2008, registered Apr 3, 2008 (-11 days) · Other
- F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••left Jan 3, 2007, registered Jan 3, 2007 (0 days) · corporate re-registration, not a move
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address