DFX Intelligence
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Registered advisor
P•••••• C•••••• G•••••
Feed of 09/14/2026
Also filed as P•••••• C•••••• G••••••••• C•••••• G•••••
At current firm
2 y
since Sep 24, 2024
In the industry
33 y
since Feb 9, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Sep 24, 2024 · Van Horne, Ia
- O•••• W•••••• I••• BD affiliatedJun 14, 2024 to Oct 1, 2024 · Van Horne, Ia
- S••••••••• A•••••• A•••••••• I••• formerDec 10, 2014 to Jun 14, 2024 · Van Horne, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedOct 3, 2006 to Dec 11, 2014 · Cedar Rapids, Ia
- A••••••••• F•••••••• S•••••••• L•• national BDJan 1, 1999 to Jun 14, 2006 · Cedar Rapids, Ia
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Oct 1, 2024, registered Sep 24, 2024 (-7 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- V••• F•••••••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 11, 2014, registered Dec 10, 2014 (-1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jun 14, 2006, registered Oct 3, 2006 (111 days) · Other
Signals
- ••• LockedOct 1, 2024 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address