DFX Intelligence
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Registered advisor
G••• M• D••••••
Feed of 09/14/2026
Also filed as G••• M•••••• D••••••••• M• D••••••••• M•••••• D••••••
At current firm
4 y
since Aug 9, 2022
In the industry
30 y
since Sep 20, 1996 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 9, 2022 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 15, 2019 to Aug 1, 2022 · San Francisco, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 2, 2018 · San Francisco, Ca
- M••••• S•••••• • C•• L•• unclassifiedAug 19, 2008 to Jun 1, 2009 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 22, 1999 to Aug 7, 2008 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Aug 1, 2022, registered Aug 9, 2022 (8 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Jul 2, 2018, registered Jan 15, 2019 (197 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Aug 7, 2008, registered Aug 19, 2008 (12 days) · Other
Signals
- ••• LockedAug 1, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address