DFX Intelligence
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Registered advisor
A••• E••••• G••••••
Feed of 09/14/2026
Also filed as A••• E•••••S G••••••
At current firm
1 y
since Jul 10, 2025
In the industry
24 y
since Jan 16, 2002 (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
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Venice, Fl
- N••• F•••••••• G••••• I••• formerAug 12, 2011 to Jul 10, 2025 · Saint Augustine, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 8, 2011 · Tampa, Fl
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 29, 2007 to Oct 23, 2009 · Tampa, Fl
- A• G• E•••••• • S•••• I••• unclassifiedFeb 26, 2002 to Jun 5, 2007 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- N••• F•••••••• G••••• I••• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••• F•••••••• G••••• I•••left Aug 8, 2011, registered Aug 12, 2011 (4 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- A• G• E•••••• • S•••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 5, 2007, registered May 29, 2007 (-7 days) · Other
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