DFX Intelligence
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Registered advisor
M•••• G• C•••••••••
Feed of 09/14/2026
Also filed as M••• G• C••••••••• G• C••••••••• C• A••••••••• A••••••••• C•••••••••
At current firm
9 y
since Jun 30, 2017
In the industry
21 y
since Jan 19, 2005 (earliest exam, job or registration)
Prior registered firms
4
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 30, 2017 · Bridgewater, Nj
- F••••• I••••••••• independent RIAApr 8, 2013 to Mar 13, 2017 · Princeton Junction, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 5, 2012 · Boston, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 15, 2009 to Oct 23, 2009 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 20, 2005 to Jul 30, 2009 · Pennington, Nj
Moves
a registration end followed by a registration begin elsewhere
- F••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 13, 2017, registered Jun 30, 2017 (109 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Apr 5, 2012, registered Apr 8, 2013 (368 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 30, 2009, registered Jul 15, 2009 (-15 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address