DFX Intelligence
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Registered advisor
A•••••• G••••
Feed of 09/15/2026
Also filed as A•••••• G••••••••• C•••••
At current firm
1 y
since Oct 17, 2024
In the industry
21 y
since May 2, 2005 (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
S63, 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
- W•••• F•••• A••••••• wirehouse currentsince Oct 17, 2024 · Alpharetta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 12, 2024 to Oct 22, 2024 · Alpharetta, Ga
- P•• W••••• M••••••••• BD affiliatedDec 8, 2010 to Jun 1, 2012 · Lansing, Mi
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 17, 2007 to Dec 17, 2009 · Jacksonville, Fl
- U••• F•••••••• P••••••• S••••••• formerMay 9, 2006 to Apr 30, 2007 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMay 2, 2005 to Apr 11, 2006 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 22, 2024, registered Oct 17, 2024 (-5 days) · Wirehouse to wirehouse
- P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 1, 2012, registered Feb 12, 2024 (4273 days) · Other
- C•••••••• G••••• M•••••• I••• to P•• W••••• M•••••••••left Dec 17, 2009, registered Dec 8, 2010 (356 days) · Other
- U••• F•••••••• P••••••• S••••••• to C•••••••• G••••• M•••••• I•••left Apr 30, 2007, registered May 17, 2007 (17 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Apr 11, 2006, registered May 9, 2006 (28 days) · Affiliated broker-dealer or bank to a newly registered adviser
Signals
- ••• LockedOct 22, 2024 · Advisor changed firm · 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address