DFX Intelligence
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Registered advisor
G•••••• L• W•••••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as G•••••• L•••• W••••••••• W•••••••••
At current firm
5 y
since Oct 30, 2020
In the industry
15 y
since Apr 1, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
16
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Oct 30, 2020 · Brentwood, Tn
- C••••••••• F•••••••• N•••••• national BDMar 5, 2019 to Aug 12, 2020 · Bloomington, Mn
- W•••• F•••• A••••••• wirehouseDec 4, 2014 to Feb 5, 2019 · Bloomington, Mn
Moves
a registration end followed by a registration begin elsewhere
- C••••••••• F•••••••• N•••••• to P••• A••••• S••••••••• L••left Aug 12, 2020, registered Oct 30, 2020 (79 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••left Feb 5, 2019, registered Mar 5, 2019 (28 days) · Wirehouse to affiliated broker-dealer or bank
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address