DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

M•••••• G••••• S••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedLillington, Nc dual registrantIAPD 5250911

Certified Financial Planner

Feed of 09/14/2026

Also filed as M•••••• Dawn G•••••

At current firm

2 y

since Feb 19, 2024

In the industry

19 y

since Jan 18, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Feb 19, 2024 · Lillington, Nc
O•••• I••••••••• I••• BD affiliated
Feb 4, 2019 to Jan 10, 2024 · Sanford, Nc
F•••• C••••••• I••••••• S•••••••• I••• BD affiliated
Jul 23, 2014 to Feb 5, 2019 · Dunn, Nc
O•••• F•• I••• former
Jun 6, 2011 to Jul 15, 2014 · Raleigh, Nc
C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliated
Dec 20, 2010 to Jun 13, 2011 · Raleigh, Nc
C•••••• G••••••• W••••• M••••••••• L•• former
Jul 10, 2009 to Dec 17, 2010 · Miami, Fl
E••••• J•••• national BD
Jan 31, 2007 to Jan 8, 2008 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

O•••• I••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Jan 10, 2024, registered Feb 19, 2024 (40 days) · Affiliated broker-dealer or bank to another
F•••• C••••••• I••••••• S•••••••• I••• to O•••• I••••••••• I•••
left Feb 5, 2019, registered Feb 4, 2019 (-1 days) · Affiliated broker-dealer or bank to another
O•••• F•• I••• to F•••• C••••••• I••••••• S•••••••• I•••
left Jul 15, 2014, registered Jul 23, 2014 (8 days) · Other
C•••••• I••••••••• A••••••• S•••••••• L•• to O•••• F•• I•••
left Jun 13, 2011, registered Jun 6, 2011 (-7 days) · Other
C•••••• G••••••• W••••• M••••••••• L•• to C•••••• I••••••••• A••••••• S•••••••• L••
left Dec 17, 2010, registered Dec 20, 2010 (3 days) · Other
E••••• J•••• to C•••••• G••••••• W••••• M••••••••• L••
left Jan 8, 2008, registered Jul 10, 2009 (549 days) · Other

Signals

M•••••• G••••• S•••• left O•••• I••••••••• I••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-02-19)
Jan 10, 2024 · Advisor changed firm · fact

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