DFX Intelligence
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Registered advisor
N••• B•••• G••••••••
Feed of 09/14/2026
At current firm
2 y
since Jun 14, 2024
In the industry
26 y
since Apr 27, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Coral Springs, Fl
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Coral Springs, Fl
- I••••••••• A••••••• S••••••• I•• formerAug 21, 2009 to Jul 17, 2020 · Coral Springs, Fl
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to May 11, 2009 · Boca Raton, Fl
- W••• I••••••••• I••• unclassifiedApr 18, 2005 to May 2, 2009 · Boca Raton, Fl
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to I••••••••• A••••••• S••••••• I••left May 11, 2009, registered Aug 21, 2009 (102 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address