DFX Intelligence
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Registered advisor
J••• G•••••• M••••
Feed of 09/14/2026
Also filed as J••• G•••••• N••••••••• G•••••• M••••••••• G•••••• M•••• J•••••• G•••••• M••••••••• G•••••• M•••• J••••••• G•••••• M••••••••• G•••••• M••••
At current firm
2 y
since Feb 23, 2024
In the industry
27 y
since Mar 26, 1999 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
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•••••• S••••• • C••• I••• national BD currentsince Feb 23, 2024 · Lone Tree, Co
- S••••• W••••• A•••••••• I••• no RAUMJul 25, 2018 to Feb 23, 2024 · Lone Tree, Co
- M••••• S•••••• wirehouseJan 5, 2015 to Jun 4, 2018 · Greenwood Village, Co
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 15, 2014 · Columbus, Oh
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Columbus, Oh
- M••••• S•••••• D• I••• unclassifiedJul 18, 2005 to Apr 2, 2007 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Feb 23, 2024, registered Feb 23, 2024 (0 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to S••••• W••••• A•••••••• I•••left Jun 4, 2018, registered Jul 25, 2018 (51 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address