DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

K•••• A••••• G••••••

E•••••••• A•••••••• L••national BDJupiter, Fl dual registrantIAPD 1083754

Feed of 09/14/2026

Also filed as K•••• A••••• G••••••

At current firm

2 y

since Feb 22, 2024

In the industry

42 y

since Feb 24, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• A•••••••• L•• national BD current
since Feb 22, 2024 · New York, Ny
M••••• S•••••• wirehouse
Jun 1, 2009 to Feb 29, 2024 · Red Bank, Nj
M••••• S•••••• • C•• L•• unclassified
Jan 30, 2009 to Jun 1, 2009 · Red Bank, Nj
U•• F•••••••• S••••••• I••• wirehouse
Apr 16, 2004 to Feb 11, 2009 · Red Bank, Nj
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 2, 2002 to Apr 30, 2004 · Red Bank, Nj

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to E•••••••• A•••••••• L••
left Feb 29, 2024, registered Feb 22, 2024 (-7 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••
left Feb 11, 2009, registered Jan 30, 2009 (-12 days) · Other
C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
left Apr 30, 2004, registered Apr 16, 2004 (-14 days) · Other

Signals

K•••• A••••• G•••••• left M••••• S•••••• for E•••••••• A•••••••• L•• (registered 2024-02-22)
Feb 29, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The 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.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: National broker-dealer RIAderived
Years in industry: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address