DFX Intelligence
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Registered advisor
R••••••• L•••••• G••••
Chartered Financial Consultant
Feed of 09/14/2026
Also filed as R••••• L• G••••
At current firm
2 y
since Oct 16, 2023
In the industry
12 y
since Jan 24, 2014 (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
- E••••• J•••• national BD currentsince Oct 16, 2023 · Dallas, Tx
- C•••••• S••••• • C••• I••• national BDMay 23, 2020 to Oct 26, 2023 · Westlake, Tx
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to May 24, 2020 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerMar 12, 2015 to Jan 8, 2018 · Addison, Tx
- E••••• J•••• national BDFeb 13, 2014 to Jan 16, 2015 · Plano, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to E••••• J••••left Oct 26, 2023, registered Oct 16, 2023 (-10 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••left May 24, 2020, registered May 23, 2020 (-1 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to U••• F•••••••• P••••••• S•••••••left Jan 16, 2015, registered Mar 12, 2015 (55 days) · Other
Signals
- R••••••• L•••••• G•••• left C•••••• S••••• • C••• I••• for E••••• J•••• (registered 2023-10-16)Oct 26, 2023 · 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
- 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