DFX Intelligence
RIA Intelligence
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Registered advisor
G•••••• R•• G••••••••
Feed of 09/15/2026
At current firm
1 y
since Mar 10, 2025
In the industry
15 y
since Dec 1, 2010 (earliest exam, job or registration)
Prior registered firms
1
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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Mar 10, 2025 · Palm Desert, Ca
- E••••• J•••• national BDFeb 4, 2020 to Mar 5, 2025 · Santa Barbara, Ca
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to U••• B•••••• A•••••••• L••left Mar 5, 2025, registered Mar 10, 2025 (5 days) · Affiliated broker-dealer or bank to another
Signals
- G•••••• R•• G•••••••• left E••••• J•••• for U••• B•••••• A•••••••• L•• (registered 2025-03-10)Mar 5, 2025 · 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address