DFX Intelligence
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Registered advisor
G•••• P• A•••••
Certified Financial Planner
Feed of 09/23/2026
Also filed as G•••• P•••••• A••••••••• A•••••
At current firm
0 y
since Sep 22, 2026
In the industry
23 y
since Aug 8, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Sep 22, 2026 · S••••Field, Ri
- S•••••• F•••••••• G••••• L••••• independent RIADec 10, 2025 to Mar 18, 2026 · Burlington, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDApr 18, 2022 to Aug 20, 2025 · Uxbridge, Ma
- T•••• A•••••••• L•• formerNov 17, 2016 to Apr 18, 2022 · Uxbridge, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 20, 2013 to Nov 17, 2016 · Worcester, Ma
Moves
a registration end followed by a registration begin elsewhere
- S•••••• F•••••••• G••••• L••••• to S•••••••• A••••••• L••left Mar 18, 2026, registered Sep 22, 2026 (188 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to S•••••• F•••••••• G••••• L•••••left Aug 20, 2025, registered Dec 10, 2025 (112 days) · Affiliated broker-dealer or bank to independent RIA
- T•••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 18, 2022, registered Apr 18, 2022 (0 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T•••• A•••••••• L••left Nov 17, 2016, registered Nov 17, 2016 (0 days) · Other
Signals
- ••• LockedSep 22, 2026 · Advisor registered · fact
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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address