DFX Intelligence
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Registered advisor
C••••••••• M• G•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C•••• G•••
At current firm
6 y
since Feb 27, 2020
In the industry
23 y
since Feb 1, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••• L•• BD affiliated currentsince Feb 27, 2020 · Omaha, Ne
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 29, 2023 to May 8, 2025 · Cedar Rapids, Ia
- C••••• A•••••• N••••••• L•• formerMar 30, 2020 to Jun 29, 2023 · Cedar Rapids, Ia
- C••••• A•••••• N••••••• L•• formerFeb 27, 2020 to Mar 23, 2020 · Cedar Rapids, Ia
- N••••••••• M••••• I••••••••• S••••••••• no RAUMAug 19, 2010 to Sep 14, 2016 · Hiawatha, Ia
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to no registered destinationleft May 8, 2025 · Departure, no registered destination
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to C••• L••left Mar 23, 2020, registered Feb 27, 2020 (-25 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to C••••• A•••••• N••••••• L••left Sep 14, 2016, registered Feb 27, 2020 (1261 days) · Other
Signals
- ••• LockedMay 8, 2025 · a•••••• departure · fact
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address