DFX Intelligence
RIA Intelligence
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Registered advisor
D••••• G•••• G•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as D••••• G G•••••
At current firm
5 y
since Jan 2, 2021
In the industry
29 y
since Jul 29, 1997 (earliest exam, job or registration)
Prior registered firms
2
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
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jan 2, 2021 · Plymouth, Mn
- S•• W••••• M••••••••• L•• formerDec 22, 2011 to Jan 13, 2021 · Madison, Wi
- S•• W••••• M••••••••• I••• unclassifiedMay 3, 1999 to Dec 22, 2011 · Madison, Wi
Moves
a registration end followed by a registration begin elsewhere
- S•• W••••• M••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jan 13, 2021, registered Jan 2, 2021 (-11 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•• W••••• M••••••••• I••• to S•• W••••• M••••••••• L••left Dec 22, 2011, registered Dec 22, 2011 (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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address