DFX Intelligence
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Registered advisor
R••••• R•••••• G•••••
Feed of 09/14/2026
Also filed as R••••• G••••••••• G••••••••• R•••••• G••••• I••••••••• R•••••• G••••••••• R•••••• G•••••
At current firm
1 y
since Jan 28, 2025
In the industry
23 y
since Dec 28, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 28, 2025 · Henderson, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDMay 1, 2018 to Feb 28, 2025 · San Jose, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 3, 2011 to Apr 10, 2018 · San Jose, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to May 5, 2011 · San Jose, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · San Jose, Ca
- M••••• S•••••• D• I••• unclassifiedFeb 13, 2003 to Apr 2, 2007 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 28, 2025, registered Jan 28, 2025 (-31 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 10, 2018, registered May 1, 2018 (21 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 5, 2011, registered May 3, 2011 (-2 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedFeb 28, 2025 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address