DFX Intelligence
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Registered advisor
S••••• L••• G•••
Feed of 09/15/2026
Also filed as S••••• L••• I••••••••• L• G•••
At current firm
7 y
since Aug 20, 2019
In the industry
27 y
since Sep 1, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
15
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
- O•••• W•••••• I••• BD affiliated currentsince Aug 20, 2019 · Warner Robins, Ga
- R•••••••• F•••••••• G••••• I••• formerApr 25, 2006 to Dec 15, 2021 · Warner Robins, Ga
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 23, 2005 to Jul 20, 2005 · Warner Robins, Ga
Moves
a registration end followed by a registration begin elsewhere
- R•••••••• F•••••••• G••••• I••• to O•••• W•••••• I•••left Dec 15, 2021, registered Aug 20, 2019 (-848 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•• I•••••••• S•••••••• L•• to R•••••••• F•••••••• G••••• I•••left Jul 20, 2005, registered Apr 25, 2006 (279 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address