DFX Intelligence
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Registered advisor
T••••• G••••• S•••••••
Feed of 09/14/2026
Also filed as T••••• G• S•••••••
At current firm
10 y
since May 12, 2016
In the industry
27 y
since May 28, 1999 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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 May 12, 2016 · San Dimas, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 2, 2016 · Pasadena, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 3, 2008 to Jan 3, 2011 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 1, 2006 to Apr 2, 2008 · Ontario, Ca
- M••••• S•••••• D• I••• unclassifiedOct 21, 2003 to Mar 2, 2006 · Ontario, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Oct 23, 2003 · Pasadena, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMar 9, 2001 to Jul 1, 2003 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 2, 2016, registered May 12, 2016 (-21 days) · Other · moved with a team
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Apr 2, 2008, registered Apr 3, 2008 (1 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 2, 2006, registered Mar 1, 2006 (-1 days) · Other
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left Oct 23, 2003, registered Oct 21, 2003 (-2 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address