DFX Intelligence
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Registered advisor
G•••• C•••••• C••••
Feed of 09/15/2026
Also filed as G•••• C•••••• C••••
At current firm
1 y
since May 15, 2025
In the industry
33 y
since Jan 12, 1993 (earliest exam, job or registration)
Prior registered firms
3
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
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Seattle, Wa
- C••• F•••••••• S•••••••• L••• formerAug 23, 2006 to May 15, 2025 · Seattle, Wa
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Sep 5, 2006 · Seattle, Wa
- P•••• S•••••• • C•• institutionalAug 22, 2000 to Aug 12, 2006 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C••• F•••••••• S•••••••• L•••left Sep 5, 2006, registered Aug 23, 2006 (-13 days) · Other
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address