DFX Intelligence
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Registered advisor
G••• A•••••• C•••••
Feed of 09/14/2026
Also filed as G••• A•••••• C••••••••• A•••••• C••••••••• A•••••• C••••••••• A•••••• C••••••••• A•••••• C•••••
At current firm
7 y
since Nov 6, 2018
In the industry
14 y
since Sep 20, 2012 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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•••••• S••••• • C••• I••• national BD currentsince Nov 6, 2018 · Lone Tree, Co
- A••••• A•• P••••••• S••••••• BD affiliatedMay 28, 2015 to Oct 9, 2018 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to C•••••• S••••• • C••• I•••left Oct 9, 2018, registered Nov 6, 2018 (28 days) · Affiliated broker-dealer or bank to another
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address