DFX Intelligence
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Registered advisor
D•••• W•••••• G•••••••
Feed of 09/14/2026
At current firm
10 y
since Dec 3, 2015
In the industry
34 y
since Jul 6, 1992 (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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 3, 2015 · Dallas, Tx
- J••• M••••• S••••••••• L•• wirehouseMay 10, 2005 to Nov 5, 2015 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 1, 1994 to May 20, 2005 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 5, 2015, registered Dec 3, 2015 (28 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••left May 20, 2005, registered May 10, 2005 (-10 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address