DFX Intelligence
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Registered advisor
C•••••••• G•••••
Feed of 09/14/2026
Also filed as C•••••••• G••••• F•••••
At current firm
3 y
since Aug 12, 2023
In the industry
18 y
since Feb 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
S63, 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
- C•••••• S••••• • C••• I••• national BD currentsince Aug 12, 2023 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 25, 2021 to Sep 7, 2023 · Southlake, Tx
- T• A••••••••• I••• formerMay 25, 2021 to Oct 14, 2022 · Westlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Aug 12, 2023 (-26 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered May 25, 2021 (-507 days) · corporate re-registration, not a move
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