DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
T••••• G•••••• D•••••••••
Feed of 09/14/2026
Also filed as T•• D••••••••• G•••••• D•••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
25 y
since Oct 12, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Lodi, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 18, 2019 to Mar 31, 2025 · Lodi, Ca
- T• A••••••••• I••• formerFeb 27, 2018 to Sep 11, 2019 · Elk Grove, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 11, 2019 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerFeb 13, 2017 to Feb 26, 2018 · Saint Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 11, 2019, registered Nov 18, 2019 (68 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 11, 2019, registered Nov 18, 2019 (68 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
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