DFX Intelligence
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Registered advisor
C••••••••• G••••• N•••
Feed of 09/15/2026
Also filed as C••••••••• G••••• N••••••••• G••••• N••••••••• N•••
At current firm
2 y
since Nov 20, 2023
In the industry
27 y
since Aug 12, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- R•• C•••••• M••••••• L•• national BD currentsince Nov 20, 2023 · Baltimore, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 4, 2021 to Nov 24, 2023 · Towson, Md
- M••••• S•••••• wirehouseJun 25, 2020 to Jun 23, 2021 · Bethesda, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 11, 2004 to Mar 13, 2020 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Nov 24, 2023, registered Nov 20, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 23, 2021, registered Aug 4, 2021 (42 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 13, 2020, registered Jun 25, 2020 (104 days) · Wirehouse to wirehouse · moved with a team
Signals
- ••• LockedNov 24, 2023 · Advisor changed firm · fact
Transition signals
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