DFX Intelligence
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Registered advisor
D•••• G••• R•••••••
Feed of 09/14/2026
At current firm
10 y
since Aug 12, 2016
In the industry
16 y
since Dec 18, 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
S65, S63
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 12, 2016 · Oak Ridge, Tn
- F•••• T•••• S••••••••• I••• BD affiliatedMay 2, 2013 to Jul 1, 2016 · Knoxville, Tn
- M••••• S•••••• wirehouseJun 6, 2011 to Dec 22, 2011 · Knoxville, Tn
Moves
a registration end followed by a registration begin elsewhere
- F•••• T•••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Jul 1, 2016, registered Aug 12, 2016 (42 days) · Other
- M••••• S•••••• to F•••• T•••• S••••••••• I•••left Dec 22, 2011, registered May 2, 2013 (497 days) · Other
Signals
No dated event on this person.
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address