DFX Intelligence
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Registered advisor
M••• R••••• G••••••
Feed of 09/15/2026
At current firm
20 y
since Mar 21, 2006
In the industry
31 y
since May 3, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
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
- I•••••••• A•••••••• L•• BD affiliated currentsince Nov 2, 2020 · West Des Moines, Ia
- G•••••• F•••••••• C••• state registered currentsince Mar 21, 2006 · Cumming, Ia
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 1, 2004 to Dec 31, 2018 · Des Moines, Ia
- L••••• S••••• S••••••••• I••• unclassifiedFeb 26, 2002 to Jan 1, 2004 · Des Moines, Ia
- G•••••• F•••••••• C••• state registeredJul 27, 1999 to Dec 31, 2005 · Des Moines, Ia
- V••••• S••••••••• C••••••••• unclassifiedJan 1, 1999 to Sep 6, 2002 · West Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to G•••••• F•••••••• C•••left Dec 31, 2018, registered Mar 21, 2006 (-4668 days) · Affiliated broker-dealer or bank to a state-registered adviser
- G•••••• F•••••••• C••• to L••••• S••••• S••••••••• I•••left Dec 31, 2005, registered Feb 26, 2002 (-1404 days) · Other
- L••••• S••••• S••••••••• I••• to V••• F•••••••• A•••••••• I•••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- V••••• S••••••••• C••••••••• to G•••••• F•••••••• C•••left Sep 6, 2002, registered Jul 27, 1999 (-1137 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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