DFX Intelligence
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Registered advisor
D••••• G••• M••••••••
Feed of 09/15/2026
Also filed as D••••• G••• H••••••• M••••••••
At current firm
1 y
since Jun 2, 2025
In the industry
19 y
since Aug 1, 2007 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 2, 2025 · Mishawaka, In
- J••• M••••• S••••••••• L•• wirehouseJan 9, 2014 to Jun 3, 2025 · Elkhart, In
- F•••• T•••• S••••••••• I••• BD affiliatedJul 6, 2012 to Jan 10, 2014 · Elkhart, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 14, 2009 to Jul 9, 2012 · South Bend, In
- U•• F•••••••• S••••••• I••• wirehouseAug 2, 2007 to Aug 26, 2009 · Mishawaka, In
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jun 3, 2025, registered Jun 2, 2025 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- F•••• T•••• S••••••••• I••• to J••• M••••• S••••••••• L••left Jan 10, 2014, registered Jan 9, 2014 (-1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• T•••• S••••••••• I•••left Jul 9, 2012, registered Jul 6, 2012 (-3 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 26, 2009, registered Aug 14, 2009 (-12 days) · Wirehouse to wirehouse
Signals
- ••• LockedJun 3, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address