DFX Intelligence
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Registered advisor
A•••••• G••••••
Feed of 09/14/2026
Also filed as M•••• L•• C••••••••• C••••••••• L•• C••••••••• L•• G••••••
At current firm
3 y
since May 23, 2023
In the industry
24 y
since Feb 28, 2002 (earliest exam, job or registration)
Prior registered firms
4
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
- L•• F•••••••• L•• BD affiliated currentsince May 23, 2023 · Fort Mill, Sc
- M•• F•••••••• S•••••••• I••• formerSep 25, 2013 to Apr 4, 2014 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedSep 15, 2005 to Sep 18, 2013 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedFeb 10, 2003 to Sep 19, 2005 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 6, 2002 to Feb 11, 2003 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Apr 4, 2014, registered May 23, 2023 (3336 days) · Other
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Sep 18, 2013, registered Sep 25, 2013 (7 days) · Other
- W•••• F•••• I••••••••• L•• to L•• F•••••••• L••left Sep 19, 2005, registered Sep 15, 2005 (-4 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• I••••••••• L••left Feb 11, 2003, registered Feb 10, 2003 (-1 days) · Other
Signals
No dated event on this person.
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
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