DFX Intelligence
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Registered advisor
M•••••• A•••• G••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as M••• G••••
At current firm
0 y
since Jun 26, 2026
In the industry
19 y
since Nov 20, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 26, 2026 · Morristown, Nj
- M•••••• A•••••• N•••••• BD affiliatedJul 11, 2019 to Jun 26, 2026 · San Francisco, Ca
- C••••• F•••••••• A••••••• unclassifiedFeb 25, 2016 to Jan 13, 2017 · San Francisco, Ca
- S•••••••• F••••••••• I••• formerFeb 16, 2016 to Mar 8, 2016 · San Francisco, Ca
- P•••• S••••••••• L•• no RAUMJun 6, 2013 to Feb 17, 2016 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• A•••••• N•••••• to P•••••• A•••••• G••••• L••left Jun 26, 2026, registered Jun 26, 2026 (0 days) · corporate re-registration, not a move
- C••••• F•••••••• A••••••• to M•••••• A•••••• N••••••left Jan 13, 2017, registered Jul 11, 2019 (909 days) · Other
- S•••••••• F••••••••• I••• to C••••• F•••••••• A•••••••left Mar 8, 2016, registered Feb 25, 2016 (-12 days) · Other · moved with a team
- P•••• S••••••••• L•• to S•••••••• F••••••••• I•••left Feb 17, 2016, registered Feb 16, 2016 (-1 days) · Other · moved with a team
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address