DFX Intelligence
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Registered advisor
G•••• M•••••• M•••••
Feed of 09/15/2026
At current firm
14 y
since Apr 4, 2012
In the industry
27 y
since Jul 26, 1999 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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 Apr 4, 2012 · St. Petersburg, Fl
- M••••• K••••• • C••••••• L•• formerJan 28, 2004 to Oct 11, 2013 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Oct 11, 2013, registered Apr 4, 2012 (-555 days) · channel change inside one enterprise, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address