DFX Intelligence
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Registered advisor
O••••• G••••
Feed of 09/23/2026
Also filed as O••••• G••••••••• R•••• G••••
At current firm
0 y
since Sep 22, 2026
In the industry
19 y
since Apr 25, 2007 (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
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- S••••• W••••• A•••••••• I••• no RAUM currentsince Sep 22, 2026 · Irvine, Ca
- S••••• F••••••••• L•• BD affiliatedJul 15, 2025 to Aug 24, 2026 · Newport Beach, Ca
- C•••••• C•••••• P••••••• formerMar 31, 2014 to Sep 30, 2025 · Newport Beach, Ca
- S••••• W••••• M••••••••• independent RIAAug 22, 2011 to Sep 30, 2013 · Laguna Beach, Ca
- E••••• J•••• national BDApr 27, 2007 to Jan 4, 2011 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- S••••• F••••••••• L•• to S••••• W••••• A•••••••• I•••left Aug 24, 2026, registered Sep 22, 2026 (29 days) · Other
- C•••••• C•••••• P••••••• to S••••• F••••••••• L••left Sep 30, 2025, registered Jul 15, 2025 (-77 days) · RIA to affiliated broker-dealer or bank
- S••••• W••••• M••••••••• to C•••••• C•••••• P•••••••left Sep 30, 2013, registered Mar 31, 2014 (182 days) · Other
- E••••• J•••• to S••••• W••••• M•••••••••left Jan 4, 2011, registered Aug 22, 2011 (230 days) · Other
Signals
- ••• LockedSep 22, 2026 · Advisor registered · fact
- ••• LockedAug 24, 2026 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- No RAUM reportedderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address