DFX Intelligence
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Registered advisor
C••• G••••• F••••••••
Feed of 09/15/2026
Also filed as C••• G••••• F••••••••• F••••••••
At current firm
0 y
since Feb 11, 2026
In the industry
10 y
since Jul 1, 2016 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Feb 11, 2026 · Hadley, Ma
- L•• E••••••••• L•• BD affiliatedNov 19, 2024 to Jan 27, 2026 · Hadley, Ma
- P•••• S••••••••• L•• no RAUMSep 16, 2024 to Nov 20, 2024 · Marlborough, Ma
Moves
a registration end followed by a registration begin elsewhere
- L•• E••••••••• L•• to E•••••• A••••••• G••••• L••left Jan 27, 2026, registered Feb 11, 2026 (15 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 20, 2024, registered Nov 19, 2024 (-1 days) · corporate re-registration, not a move
Signals
- ••• LockedJan 27, 2026 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address