DFX Intelligence
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Registered advisor
R••• G••••••••
Feed of 09/14/2026
Also filed as R••• L•••• G••••••••
At current firm
3 y
since Jun 28, 2023
In the industry
23 y
since Jan 22, 2003 (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 Jun 28, 2023 · Richfield, Oh
- C•••••• S••••• • C••• I••• national BDJan 24, 2006 to Dec 31, 2021 · Richfield, Oh
- E•••••••• A•••••••• L•• national BDJan 22, 2003 to Jan 23, 2003 · Akron, Oh
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Jan 23, 2003, registered Jan 24, 2006 (1097 days) · Affiliated broker-dealer or bank to another
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address