DFX Intelligence
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Registered advisor
S•••••• T••••••• G••••••••
Feed of 09/14/2026
Also filed as S•••• T••••••• G••••••••• T• G••••••••
At current firm
13 y
since May 9, 2013
In the industry
31 y
since Oct 17, 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
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
- G•••••••• F•••••••• L•• state registered currentsince May 9, 2013 · Breckenridge, Co
- L•• F•••••••• L•• BD affiliatedJul 24, 2006 to Apr 10, 2013 · Nashville, Tn
- M••••• S•••••• D• I••• unclassifiedOct 22, 2004 to Jul 7, 2006 · Newport Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Nov 1, 2004 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to G•••••••• F•••••••• L••left Apr 10, 2013, registered May 9, 2013 (29 days) · Other
- M••••• S•••••• D• I••• to L•• F•••••••• L••left Jul 7, 2006, registered Jul 24, 2006 (17 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Nov 1, 2004, registered Oct 22, 2004 (-10 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address