DFX Intelligence
RIA Intelligence
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Registered advisor
T••• G••• G•••••••••
Feed of 09/15/2026
At current firm
12 y
since Sep 25, 2013
In the industry
27 y
since Mar 25, 1999 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Sep 25, 2013 · Englewood, Co
- G••••••••• P•••••••• D•••••• L•• unclassifiedJul 12, 2022 to Dec 21, 2022 · Mesa, Az
- N••• F•••••••• G••••• I••• formerNov 23, 2004 to Apr 2, 2009 · Monmouth, Il
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 14, 1999 to Dec 1, 2004 · Stronghust, Il
Moves
a registration end followed by a registration begin elsewhere
- G••••••••• P•••••••• D•••••• L•• to no registered destinationleft Dec 21, 2022 · Departure, no registered destination
- N••• F•••••••• G••••• I••• to G••••• W••••• M••••••••• I•••left Apr 2, 2009, registered Sep 25, 2013 (1637 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to N••• F•••••••• G••••• I•••left Dec 1, 2004, registered Nov 23, 2004 (-8 days) · Other
Signals
- T••• G••• G••••••••• no longer registered at G••••••••• P•••••••• D•••••• L••; no later IA registration on IAPDDec 21, 2022 · Advisor departure · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address