DFX Intelligence
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Registered advisor
M•••••• S••••• G•••••
Feed of 09/14/2026
At current firm
6 y
since Oct 25, 2019
In the industry
16 y
since Nov 24, 2009 (earliest exam, job or registration)
Prior registered firms
2
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
- W•••• F•••• A••••••• wirehouse currentsince Oct 25, 2019 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseJan 2, 2015 to Nov 6, 2019 · Chicago, Il
- M••••• S•••••• wirehouseJun 5, 2012 to Dec 17, 2014 · Deerfield, Il
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Nov 6, 2019, registered Oct 25, 2019 (-12 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Dec 17, 2014, registered Jan 2, 2015 (16 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address