DFX Intelligence
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Registered advisor
C••••••••• G• S•••••••
Feed of 09/14/2026
Also filed as C••••••••• G• S••••••••• S•••••••
At current firm
8 y
since Nov 8, 2017
In the industry
17 y
since Feb 20, 2009 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- M••••• S•••••• wirehouse currentsince Nov 8, 2017 · Purchase, Ny
- J••• M••••• S••••••••• L•• wirehouseSep 6, 2013 to Aug 9, 2017 · New York, Ny
- O•••• W•••••• I••• BD affiliatedAug 12, 2011 to Sep 12, 2013 · Scottsdale, Az
- M••••• S•••••• wirehouseFeb 23, 2010 to Jun 28, 2011 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M••••• S••••••left Aug 9, 2017, registered Nov 8, 2017 (91 days) · Wirehouse to wirehouse · moved with a team
- O•••• W•••••• I••• to J••• M••••• S••••••••• L••left Sep 12, 2013, registered Sep 6, 2013 (-6 days) · Other
- M••••• S•••••• to O•••• W•••••• I•••left Jun 28, 2011, registered Aug 12, 2011 (45 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address