DFX Intelligence
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Registered advisor
G••••• G•••••
Feed of 09/14/2026
At current firm
4 y
since Apr 12, 2022
In the industry
18 y
since Jul 1, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- C•••••• S••••• • C••• I••• national BD currentsince Apr 12, 2022 · Walnut Creek, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 18, 2022 to Sep 7, 2023 · Walnut Creek, Ca
- T• A••••••••• I••• formerJan 18, 2022 to Oct 14, 2022 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseJan 26, 2021 to Dec 20, 2021 · Piedmont, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Apr 12, 2022 (-513 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Jan 18, 2022 (-269 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to T• A••••••••• I•••left Dec 20, 2021, registered Jan 18, 2022 (29 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address