DFX Intelligence
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Registered advisor
N•••• G•••••• M•••••••
Feed of 09/15/2026
Also filed as N•••• E•••• G••••••
At current firm
1 y
since Apr 17, 2025
In the industry
17 y
since Apr 13, 2009 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Apr 17, 2025 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 31, 2020 to Apr 21, 2025 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseJun 10, 2013 to Feb 11, 2020 · Austin, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 12, 2013 · Minneapolis, Mn
- W•••• F•••• I••••••••• L•• unclassifiedApr 15, 2009 to Jan 3, 2011 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Apr 21, 2025, registered Apr 17, 2025 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 11, 2020, registered Jan 31, 2020 (-11 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jun 12, 2013, registered Jun 10, 2013 (-2 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
Signals
- ••• LockedApr 21, 2025 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address