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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

KENNETH HAROLD AULBACH

Advisor at ICON ADVISERS, INC.

Mountain Lakes, NJ | GREENWOOD VILLAGE, CO

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Search this name across graphsid dfx:ria:4c32022f-6abb-aca3-eeb5-7e566a195a55

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 4, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ICON ADVISERS, INC.
Current firm class: other adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 5, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Mar 5, 2002
First registration: May 4, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 1844566

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ICON ADVISERS, INC.	Other adviser	Jul 1, 2025	n/a	yes	GREENWOOD VILLAGE, CO\|Mountain Lakes, NJ	Current employment
AMERICAN PORTFOLIOS ADVISORS, INC	Former SEC adviser	Nov 17, 2017	Dec 22, 2023	no	HOLBROOK, NY	Previous registration
AMERICAN PORTFOLIOS ADVISORS, INC	Former SEC adviser	May 27, 2014	Feb 5, 2016	no	HOLBROOK, NY	Previous registration
INNOVATION PARTNERS LLC	Independent wealth	Mar 1, 2012	Aug 2, 2012	no	CHARLOTTE, NC\|NEEDHAM, MA	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	May 4, 2006	Mar 2, 2011	no	LYNNFIELD, MA\|LYNNFIELD, MA\|LYNNFIELD, MA\|LYNNFIELD, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERICAN PORTFOLIOS ADVISORS, INC	ICON ADVISERS, INC.	Dec 22, 2023	Jul 1, 2025	557	Firm change after gap	Other
INNOVATION PARTNERS LLC	AMERICAN PORTFOLIOS ADVISORS, INC	Aug 2, 2012	May 27, 2014	663	Firm change after gap	Other
INVESTORS CAPITAL ADVISORY	INNOVATION PARTNERS LLC	Mar 2, 2011	Mar 1, 2012	365	Firm change	Other

Relationships

Registered with (4)

→ ICON ADVISERS, INC.Registered adviserregistration: current employment
Jul 1, 2025 to presentfactForm ADV
→ AMERICAN PORTFOLIOS ADVISORS, INCRegistered adviserregistration: previous registration
Nov 17, 2017 to Dec 22, 2023factForm ADV
→ INNOVATION PARTNERS LLCRegistered adviserregistration: previous registration
Mar 1, 2012 to Aug 2, 2012factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
May 4, 2006 to Mar 2, 2011factForm ADV

Dated events

Occurred
Dec 22, 2023
Advisor changed firm
Kenneth Harold Aulbach left American Portfolios Advisors, Inc for Icon Advisers, Inc. (registered 2025-07-01)
Form ADVobserved 5 days ago