DFX Intelligence
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Registered advisor
G••••••• S••••• D•••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as G••••••• D••••••••• S••••• D••••••••• S••••• D••••••••• J••••••• D••••••••• D••••••••• S••••• D••••••••• S••••• D••••••••• J••
At current firm
1 y
since Mar 6, 2025
In the industry
33 y
since Aug 25, 1993 (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
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 6, 2025 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseFeb 13, 2009 to Mar 11, 2025 · Walnut Creek, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 17, 2009 · Orinda, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Apr 2, 2007 · Oakland, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Mar 11, 2025, registered Mar 6, 2025 (-5 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left Feb 17, 2009, registered Feb 13, 2009 (-4 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedMar 11, 2025 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address