DFX Intelligence
RIA Intelligence
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Registered advisor
G••••• A• V••••
Feed of 09/14/2026
At current firm
16 y
since Dec 14, 2009
In the industry
27 y
since Aug 12, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince Dec 14, 2009 · Chandler, Az
- W•••• F•••• I••••••••• L•• unclassifiedFeb 10, 2005 to Dec 24, 2009 · Chandler, Az
- U•• F•••••••• S••••••• I••• wirehouseMar 18, 2002 to Feb 22, 2005 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• I••••••••• L•• to L•• F•••••••• L••left Dec 24, 2009, registered Dec 14, 2009 (-10 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• I••••••••• L••left Feb 22, 2005, registered Feb 10, 2005 (-12 days) · Other
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
- 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