DFX Intelligence
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Registered advisor
C••••••••• M• G••••
Feed of 09/14/2026
Also filed as C••••••••• M• G••••••••• G••••
At current firm
1 y
since Mar 31, 2025
In the industry
12 y
since Oct 18, 2013 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · St. Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 17, 2021 to Mar 31, 2025 · Wildwood, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 23, 2021 to Apr 12, 2021 · O'Fallon, Mo
- P•••• S••••••••• L•• no RAUMFeb 8, 2021 to Mar 3, 2021 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 25, 2014 to Dec 31, 2020 · St. Louis, Mo
- T• A••••••••• I••• formerFeb 25, 2014 to Jan 11, 2021 · Chesterfield, Mo
- E••••• J•••• national BDOct 21, 2013 to Jan 16, 2014 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 12, 2021, registered May 17, 2021 (35 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 3, 2021, registered Mar 23, 2021 (20 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to P•••• S••••••••• L••left Jan 11, 2021, registered Feb 8, 2021 (28 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 25, 2014 (-2501 days) · corporate re-registration, not a move
- E••••• J•••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 16, 2014, registered Feb 25, 2014 (40 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address