DFX Intelligence
RIA Intelligence
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Registered advisor
A••••• J••• G•••••
Feed of 09/14/2026
At current firm
4 y
since Mar 25, 2022
In the industry
24 y
since Dec 10, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince Mar 25, 2022 · Chicago, Il
- D••••••• I••••••••• A••••••• L•• unclassifiedOct 4, 2007 to Mar 1, 2010 · Cincinnati, Oh
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Sep 7, 2007 · Chicago, Il
- B••• O•• S••••••••• C••••••••• unclassifiedOct 17, 2002 to Sep 27, 2006 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- D••••••• I••••••••• A••••••• L•• to C••• P•••••• W••••• A•••••••• I•••left Mar 1, 2010, registered Mar 25, 2022 (4407 days) · Other
- J••• M••••• S••••••••• I••• to D••••••• I••••••••• A••••••• L••left Sep 7, 2007, registered Oct 4, 2007 (27 days) · Other
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address