DFX Intelligence
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P•••• G•••••
As of · the IAPD feed
- At current firm
- 16 y
- In the industry
- 26 y
- Prior registered firms
- 2
- Signals
- 0
since Oct 5, 2009
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Who else to callHow these are chosenRegistered people linked to this advisor by a filed or published fact: a team, a move made together, the same street office, a shared outside business or principal, or the same earlier independent RIA. Links that rest on evidence DFX has not validated, such as a shared practice name, are left out. A link says who knows whom, not who plans to move.
1 related advisor
Names and links are part of the paid record. By relation: moved first; this advisor followed 1.
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 5, 2009 · Oakbrook Terrace, Il
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 30, 2008 to Oct 5, 2009 · Oakbrook Terrace, Il
- C•••••••• G••••• M•••••• I••• bank affiliatedJan 24, 2000 to Mar 3, 2008 · Oakbrook Terrace, Il
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to A••••••••• A•••••• S•••••••• I•••left Mar 3, 2008, registered Jul 30, 2008 (149 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote