DFX Intelligence
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Registered advisor
J•••••• D•••• G••••••
Feed of 09/15/2026
Also filed as J••• G••••••••• D• G••••••
At current firm
1 y
since May 15, 2025
In the industry
27 y
since Jul 27, 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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Neenah, Wi
- C••• F•••••••• S•••••••• L••• formerAug 24, 2022 to May 15, 2025 · Appleton, Wi
- L•• F•••••••• L•• BD affiliatedAug 24, 2012 to Aug 22, 2022 · Kimberly, Wi
- C••• B•••••••• S•••••••• I••• formerApr 3, 2008 to Aug 27, 2012 · Appleton, Wi
- C••• F•••••••• S•••••••• L••• formerJan 31, 2003 to Mar 25, 2008 · Las Vegas, Nv
- R•••••• F•••••••• S••••••• unclassifiedAug 26, 2002 to Dec 31, 2002 · Las Vegas, Nv
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 22, 2022, registered Aug 24, 2022 (2 days) · RIA to affiliated broker-dealer or bank
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Aug 27, 2012, registered Aug 24, 2012 (-3 days) · Other
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Mar 25, 2008, registered Apr 3, 2008 (9 days) · Other
- R•••••• F•••••••• S••••••• to C••• F•••••••• S•••••••• L•••left Dec 31, 2002, registered Jan 31, 2003 (31 days) · Other
Signals
- ••• LockedAug 22, 2022 · Advisor changed firm · 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