DFX Intelligence
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Registered advisor
D•••• M•••••• G•••••
Feed of 09/14/2026
At current firm
5 y
since Jul 13, 2021
In the industry
41 y
since Jun 28, 1985 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- O•••• W•••••• I••• BD affiliated currentsince Jul 13, 2021 · Dix Hills, Ny
- W•••• F•••• A••••••• wirehouseJun 22, 2016 to Jul 7, 2021 · Melville, Ny
- J••••• M••••••••• S•••• L•• BD affiliatedJun 14, 2007 to Apr 28, 2008 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to O•••• W•••••• I•••left Jul 7, 2021, registered Jul 13, 2021 (6 days) · Wirehouse to affiliated broker-dealer or bank
- J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••left Apr 28, 2008, registered Jun 22, 2016 (2977 days) · Other
Signals
No dated event on this person.
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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address