DFX Intelligence
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Registered advisor
J••••• C•••••• G•••••••
Feed of 09/15/2026
At current firm
1 y
since Jan 15, 2025
In the industry
26 y
since Apr 20, 2000 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
45
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• S••••••••• I••• BD affiliated currentsince Jan 15, 2025 · Bronx, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 2023 to Oct 1, 2024 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 25, 2010 to Apr 4, 2023 · Laurel, Md
- M••••• S•••••• • C•• L•• unclassifiedSep 21, 2007 to Mar 12, 2008 · Baltimore, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 12, 2007 to Aug 30, 2007 · Baltimore, Md
- T• A••••••••• I••• formerSep 9, 2003 to May 2, 2005 · Arlington, Va
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Oct 1, 2024, registered Jan 15, 2025 (106 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 4, 2023, registered Apr 14, 2023 (10 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• • C•• L•• to C•••••••• G••••• M•••••• I•••left Mar 12, 2008, registered Jun 25, 2010 (835 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Aug 30, 2007, registered Sep 21, 2007 (22 days) · Other
- T• A••••••••• I••• to C•••••••• G••••• M•••••• I•••left May 2, 2005, registered Feb 12, 2007 (651 days) · Other
Signals
- J••••• C•••••• G••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••••••• S••••••••• I••• (registered 2025-01-15)Oct 1, 2024 · Advisor changed firm · fact
- J••••• C•••••• G••••••• left C•••••••• G••••• M•••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-04-14)Apr 4, 2023 · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address