DFX Intelligence
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Registered advisor
N••• R•••• G•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as N••• R•••• R••••••••• R•••••••• G•••••••• R•••• G•••
At current firm
2 y
since Nov 2, 2023
In the industry
25 y
since Apr 1, 2001 (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
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Nov 2, 2023 · Yardley, Pa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 25, 2017 to Nov 16, 2018 · Chestertown, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 29, 2002 to Apr 12, 2017 · Wilmington, De
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A••••••• F•••••••• A•••••••• L••left Nov 16, 2018, registered Nov 2, 2023 (1812 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 12, 2017, registered Apr 25, 2017 (13 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address