DFX Intelligence
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Registered advisor
G••• A••••• C•••••••••
Feed of 09/14/2026
Also filed as G••• A• C••••••••• C•••••••••
At current firm
6 y
since May 14, 2020
In the industry
18 y
since Jan 1, 2008 (earliest exam, job or registration)
Prior registered firms
2
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 14, 2020 · Los Angeles, Ca
- E•••••••• A•••••••• L•• national BDNov 25, 2019 to Apr 15, 2020 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 12, 2019 to Oct 15, 2019 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 15, 2020, registered May 14, 2020 (29 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••left Oct 15, 2019, registered Nov 25, 2019 (41 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address