DFX Intelligence
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Registered advisor
C•••• D• G•••••
Feed of 09/14/2026
Also filed as C•••• D••••• G•••••
At current firm
20 y
since Oct 6, 2005
In the industry
25 y
since Mar 19, 2001 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- C•••••• S••••• • C••• I••• national BD currentsince Oct 6, 2005 · Walnut Creek, Ca
- T• A••••••••• I••• formerApr 20, 2005 to Sep 27, 2005 · Oakland, Ca
- C•••••• S••••• • C••• I••• national BDMar 28, 2001 to Jul 7, 2004 · Berkeley, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Sep 27, 2005, registered Oct 6, 2005 (9 days) · Other
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Jul 7, 2004, registered Apr 20, 2005 (287 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
No dated event on this person.
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address