DFX Intelligence
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Registered advisor
A••••• V•••••• G•••••
Feed of 09/14/2026
Also filed as A••••• ••• G••••••••• V•••••• G••••••••• G••••• J••••••••• V•••••• G••••• J••••••••• V• G••••••••• V• G••••••••• V• G•••••
At current firm
4 y
since Sep 23, 2021
In the industry
28 y
since Sep 24, 1997 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 23, 2021 · New York, Ny
- W•••• F•••• A••••••• wirehouseJul 30, 2015 to Sep 28, 2021 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 17, 2013 to Aug 3, 2015 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2004 to Apr 5, 2005 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 28, 2021, registered Sep 23, 2021 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Aug 3, 2015, registered Jul 30, 2015 (-4 days) · Wirehouse to wirehouse · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address