DFX Intelligence
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Registered advisor
R••••• F•••• G••••••
Feed of 09/14/2026
Also filed as R••••• G••••••
At current firm
2 y
since Mar 21, 2024
In the industry
27 y
since May 6, 1999 (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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Powhatan, Va
- A••••••••• F•••••••• S•••••••• L•• national BDMay 17, 2012 to Sep 2, 2020 · Richmond, Va
- S••••••• I••••••••• S•••••••• I••• formerJan 9, 2004 to May 18, 2012 · Richmond, Va
- S••••••• F•••••••• S•••••••• I••• formerJan 3, 2003 to Dec 16, 2003 · Richmond, Va
- I••••••••• A••••••• G••••• I••• unclassifiedMay 20, 2002 to Jan 3, 2003 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 2, 2020, registered Mar 21, 2024 (1296 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 18, 2012, registered May 17, 2012 (-1 days) · Other
- S••••••• F•••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Dec 16, 2003, registered Jan 9, 2004 (24 days) · Other
- I••••••••• A••••••• G••••• I••• to S••••••• F•••••••• S•••••••• I•••left Jan 3, 2003, registered Jan 3, 2003 (0 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address