DFX Intelligence
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Registered advisor
D••••• G•••••••••
Feed of 09/15/2026
Also filed as D••••• G••••••••• G••••••••• E••••••
At current firm
3 y
since Oct 6, 2022
In the industry
18 y
since Aug 28, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C•••••• S••••• • C••• I••• national BD currentsince Oct 6, 2022 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 21, 2012 to Dec 10, 2018 · San Diego, Ca
- T• A••••••••• I••• formerMar 21, 2012 to Oct 14, 2022 · Westlake, Tx
- E•••••••• A•••••••• L•• national BDSep 19, 2008 to Sep 14, 2010 · National City, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Oct 6, 2022 (-8 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 10, 2018, registered Mar 21, 2012 (-2455 days) · channel change inside one enterprise, not a move · moved with a team
- E•••••••• A•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Sep 14, 2010, registered Mar 21, 2012 (554 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address