DFX Intelligence
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Registered advisor
C•••••••• E•••••••• G••••
Feed of 09/14/2026
Also filed as T••••••••• E•••••••• G••••••••• E• G••••
At current firm
4 y
since Sep 14, 2022
In the industry
15 y
since Feb 24, 2011 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Sep 14, 2022 · Newtown Square, Pa
- A••••• A•• P••••••• S••••••• BD affiliatedNov 23, 2021 to Aug 12, 2022 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to M••••• S••••••left Aug 12, 2022, registered Sep 14, 2022 (33 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- C•••••••• E•••••••• G•••• left A••••• A•• P••••••• S••••••• for M••••• S•••••• (registered 2022-09-14)Aug 12, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address