DFX Intelligence
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Registered advisor
T•• G• C••••••
Feed of 09/14/2026
At current firm
4 y
since Jan 31, 2022
In the industry
16 y
since Jan 13, 2010 (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 Jan 31, 2022 · Cupertino, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 3, 2011 to Sep 7, 2023 · San Rafael, Ca
- T• A••••••••• I••• formerMar 3, 2011 to Oct 14, 2022 · Corte Madera, Ca
- M••••• S•••••• wirehouseJan 15, 2010 to Dec 23, 2010 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 31, 2022 (-584 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Mar 3, 2011 (-4243 days) · corporate re-registration, not a move
- M••••• S•••••• to T• A••••••••• I•••left Dec 23, 2010, registered Mar 3, 2011 (70 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address