DFX Intelligence
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Registered advisor
R•••••• J• G••••••
Feed of 09/14/2026
At current firm
1 y
since Oct 17, 2024
In the industry
20 y
since Mar 21, 2006 (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
S63, 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
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Oct 17, 2024 · Greenwood Village, Co
- M•• F•••••••• S•••••••• I••• formerNov 20, 2009 to Jul 13, 2011 · Exeter, Nh
- V•••• F•••••••• A•••••••• I••• BD affiliatedDec 15, 2008 to Jul 20, 2009 · Burlington, Ma
- S•••••••• A••••••• L•• national BDNov 8, 2007 to Oct 24, 2008 · Merrimack, Nh
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to E•••••• A••••••• G••••• L••left Jul 13, 2011, registered Oct 17, 2024 (4845 days) · Other
- V•••• F•••••••• A•••••••• I••• to M•• F•••••••• S•••••••• I•••left Jul 20, 2009, registered Nov 20, 2009 (123 days) · Other
- S•••••••• A••••••• L•• to V•••• F•••••••• A•••••••• I•••left Oct 24, 2008, registered Dec 15, 2008 (52 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address