DFX Intelligence
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Registered advisor
E••••• W••••••••
Feed of 09/14/2026
At current firm
10 y
since Nov 12, 2015
In the industry
28 y
since Dec 1, 1997 (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
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 12, 2015 · Oakland Park, Fl
- W•••• F•••• A••••••• wirehouseAug 18, 2005 to Nov 12, 2015 · Fort Lauderdale, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 10, 1998 to Jul 1, 2005 · North Miami Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Nov 12, 2015, registered Nov 12, 2015 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jul 1, 2005, registered Aug 18, 2005 (48 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
- 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