DFX Intelligence
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Registered advisor
K••••••• M•••• H•••••
Feed of 09/15/2026
Also filed as K•••• G••••••••• M•••• G••••••••• M•••• G••••••••• M• H••••••••• H•••••
At current firm
3 y
since May 5, 2023
In the industry
38 y
since Dec 7, 1987 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 5, 2023 · Mercer Island, Wa
- R•••••• J•••• • A••••••••• I••• national BDMay 30, 2017 to May 10, 2023 · Seattle, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to May 26, 2017 · Bellevue, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 20, 2009 to Jun 1, 2009 · Bellevue, Wa
- U•• F•••••••• S••••••• I••• wirehouseOct 21, 1999 to Mar 4, 2009 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 10, 2023, registered May 5, 2023 (-5 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left May 26, 2017, registered May 30, 2017 (4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Mar 4, 2009, registered Feb 20, 2009 (-12 days) · Other
Signals
- ••• LockedMay 10, 2023 · 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address