DFX Intelligence
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Registered advisor
D•••• C••••••••• G•••
Feed of 09/14/2026
Also filed as D•••• C••••••••• G••••••••• C••••••••• G•••
At current firm
5 y
since Feb 17, 2021
In the industry
30 y
since Aug 1, 1996 (earliest exam, job or registration)
Prior registered firms
2
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Feb 17, 2021 · Richmond, Va
- B••• S••••••••• L•• formerJan 2, 2013 to Feb 17, 2021 · Richmond, Va
- S•••• • S••••••••• L•• formerMay 18, 1998 to Jan 2, 2013 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- S•••• • S••••••••• L•• to B••• S••••••••• L••left Jan 2, 2013, registered Jan 2, 2013 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address