DFX Intelligence
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Registered advisor
R•••• G•••••
Feed of 09/14/2026
At current firm
8 y
since Dec 4, 2017
In the industry
24 y
since Jul 3, 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, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• I••••••••• I••• BD affiliated currentsince Dec 4, 2017 · Woodbury, Ct
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Dec 11, 2017 · Manchester, Ct
- L•• F•••••••• L•• BD affiliatedOct 19, 2012 to Sep 21, 2016 · Manchester, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 30, 2008 to Oct 22, 2012 · Glastonbury, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 23, 2008 to Oct 16, 2008 · Glastonbury, Ct
Moves
a registration end followed by a registration begin elsewhere
- K•• I••••••••• S••••••• L•• to O•••• I••••••••• I•••left Dec 11, 2017, registered Dec 4, 2017 (-7 days) · Other · moved with a team
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Oct 22, 2012, registered Oct 19, 2012 (-3 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 16, 2008, registered Sep 30, 2008 (-16 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