DFX Intelligence
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Registered advisor
L••••••• R•••••• G••••••••
Feed of 09/15/2026
Also filed as L••••••• G••••••••
At current firm
4 y
since Apr 7, 2022
In the industry
19 y
since Jan 1, 2007 (earliest exam, job or registration)
Prior registered firms
1
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• S••••••••• I••• BD affiliated currentsince Apr 7, 2022 · Conshohocken, Pa
- P•••• S••••••••• L•• no RAUMJun 26, 2020 to Apr 7, 2022 · Warrington, Pa
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to C••••••• S••••••••• I•••left Apr 7, 2022, registered Apr 7, 2022 (0 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedApr 7, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address