DFX Intelligence
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Registered advisor
C••••••••• D••••• G•••••
Feed of 09/14/2026
Also filed as C•••• G•••••
At current firm
8 y
since Sep 18, 2018
In the industry
26 y
since Dec 29, 1999 (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
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Sep 18, 2018 · Omaha, Ne
- L•• F•••••••• L•• BD affiliatedMar 7, 2013 to Sep 12, 2018 · Omaha, Ne
- T••••••• I••••••••• M••••••••• I••• BD affiliatedFeb 6, 2012 to Feb 13, 2013 · Omaha, Ne
- B••••••• I••••••••• S•••••••• I••• ••••• formerMay 17, 2006 to Jan 31, 2011 · Omaha, Ne
- S••••••••• A•••••• A•••••••• I••• formerSep 25, 2003 to Mar 30, 2006 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Sep 12, 2018, registered Sep 18, 2018 (6 days) · RIA to affiliated broker-dealer or bank
- T••••••• I••••••••• M••••••••• I••• to L•• F•••••••• L••left Feb 13, 2013, registered Mar 7, 2013 (22 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to T••••••• I••••••••• M••••••••• I•••left Jan 31, 2011, registered Feb 6, 2012 (371 days) · Other
- S••••••••• A•••••• A•••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Mar 30, 2006, registered May 17, 2006 (48 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
- 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