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.

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Registered advisor

K•••••• G• M•••••

R•••••• J•••• • A••••••••• I•••national BDParamus, Njdual registrantIAPD 1178930

Feed of 09/14/2026

Also filed as K•••••• Gregg M•••••

At current firm

0 y

since Jun 3, 2026

In the industry

42 y

since Nov 18, 1983 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Jun 3, 2026 · Paramus, Nj
U•• F•••••••• S••••••• I••• wirehouse
Dec 1, 2010 to Jun 12, 2026 · Paramus, Nj
M••••• S•••••• wirehouse
Jun 1, 2009 to Dec 8, 2010 · Paramus, Nj
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Jun 1, 2009 · Paramus, Nj
M••••• S•••••• D• I••• unclassified
Sep 8, 2006 to Apr 2, 2007 · Purchase, Ny

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Jun 12, 2026, registered Jun 3, 2026 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to U•• F•••••••• S••••••• I•••
left Dec 8, 2010, registered Dec 1, 2010 (-7 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

K•••••• G• M••••• left U•• F•••••••• S••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2026-06-03)
Jun 12, 2026 · 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