DFX Intelligence
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Registered advisor
G••••• M•••••• C•••••••
Feed of 09/14/2026
Also filed as G••••• M•••••• A••••••••• M• A••••••••• A••••••••• C•••••••
At current firm
3 y
since Mar 30, 2023
In the industry
12 y
since Aug 1, 2014 (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
- C•••••• S••••• • C••• I••• national BD currentsince Mar 30, 2023 · Walnut Creek, Ca
- W•••• F•••• A••••••• wirehouseDec 20, 2021 to Feb 28, 2023 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••left Feb 28, 2023, registered Mar 30, 2023 (30 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- ••• LockedFeb 28, 2023 · Advisor changed firm · fact
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address