DFX Intelligence
RIA Intelligence
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Registered advisor
D••••• L••• G•••
Feed of 09/14/2026
At current firm
17 y
since Feb 19, 2009
In the industry
34 y
since Mar 16, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- G••• I••••••••• A•••••••• I••• state registered currentsince Feb 19, 2009 · Toledo, Oh
- B• R•••• W••••• M••••••••• formerNov 2, 2007 to Aug 2, 2010 · Memphis, Tn
- G••• I••••••••• A•••••••• I••• state registeredAug 9, 1999 to Dec 31, 2006 · Toledo, Oh
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• M••••••••• to G••• I••••••••• A•••••••• I•••left Aug 2, 2010, registered Feb 19, 2009 (-529 days) · Other
- G••• I••••••••• A•••••••• I••• to B• R•••• W••••• M•••••••••left Dec 31, 2006, registered Nov 2, 2007 (306 days) · Other
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
- STATE REGISTEREDderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address