DFX Intelligence
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Registered advisor
F•••••• G•••••• S•••• I••
Feed of 09/14/2026
Also filed as G•••• S••••••• G•••••• S•••••••• S••••••••• G•••••• S••••••• G•••••• S••••••••• G•••••• S•••••••• S•••• I••
At current firm
3 y
since Aug 10, 2023
In the industry
28 y
since Oct 28, 1997 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Midlothian, Va
- S••••••• F•••••••• S•••••••• I••• formerFeb 16, 2018 to Aug 10, 2023 · Midlothian, Va
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Feb 16, 2018 · Richmond, Va
- M•• F•••••••• S•••••••• I••• formerFeb 2, 2010 to Mar 25, 2017 · Richmond, Va
- E•••••••• A•••••••• L•• national BDFeb 27, 2004 to Feb 1, 2010 · Chesterfield, Va
- P•••• S••••••••• L•• no RAUMFeb 5, 2002 to Jan 23, 2004 · Glen Allen, Va
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Feb 16, 2018, registered Feb 16, 2018 (0 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Feb 1, 2010, registered Feb 2, 2010 (1 days) · Other
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Jan 23, 2004, registered Feb 27, 2004 (35 days) · Other
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address