DFX Intelligence
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Registered advisor
R••••• G••• S•••••••
Feed of 09/14/2026
Also filed as G••• S••••••••• G••• S••••••••• G• S•••••••
At current firm
1 y
since Nov 19, 2024
In the industry
31 y
since Dec 28, 1994 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- E••••• J•••• national BD currentsince Nov 19, 2024 · Franklin, Tn
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 17, 2009 to Dec 3, 2010 · Nashville, Tn
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 10, 2005 to Mar 20, 2009 · Nashville, Tn
- L••••• B••••••• I••• unclassifiedMay 10, 2004 to Feb 23, 2005 · Nashville, Tn
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to E••••• J••••left Dec 3, 2010, registered Nov 19, 2024 (5100 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Mar 20, 2009, registered Jun 17, 2009 (89 days) · Other
- L••••• B••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 23, 2005, registered Jun 10, 2005 (107 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address