DFX Intelligence
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Registered advisor
C•••••• G••• K••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C•••••• G••• A•••••••
At current firm
6 y
since May 18, 2020
In the industry
44 y
since Mar 1, 1982 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2020 · Pueblo, Co
- W•••• F•••• A••••••• wirehouseJul 18, 2008 to May 19, 2020 · Pueblo, Co
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 24, 2008 · Pueblo, Co
- A• G• E•••••• • S•••• I••• unclassifiedSep 28, 2001 to Jan 1, 2008 · Pueblo, Co
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left May 19, 2020, registered May 18, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jul 24, 2008, registered Jul 18, 2008 (-6 days) · channel change inside one enterprise, not a move
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address