DFX Intelligence
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Registered advisor
M•••••• C••• G••••
Feed of 09/15/2026
At current firm
6 y
since May 27, 2020
In the industry
32 y
since Aug 1, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- L•• F•••••••• L•• BD affiliated currentsince May 27, 2020 · Louisville, Ky
- O•••• W•••••• I••• BD affiliatedMar 29, 2011 to Jun 2, 2020 · Louisville, Ky
- F•••••••• S••••••• C••••• unclassifiedAug 1, 1994 to May 25, 2011 · Anchorage, Ky
Moves
a registration end followed by a registration begin elsewhere
- O•••• W•••••• I••• to L•• F•••••••• L••left Jun 2, 2020, registered May 27, 2020 (-6 days) · Affiliated broker-dealer or bank to another
- F•••••••• S••••••• C••••• to O•••• W•••••• I•••left May 25, 2011, registered Mar 29, 2011 (-57 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address