DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
J••••• G• K••••
Feed of 09/14/2026
Also filed as S••• K••••••••• G• K••••••••• G•••• K••••••••• G•••• K••••• J•••••••• G•••• K••••
At current firm
1 y
since Mar 31, 2025
In the industry
32 y
since Jun 17, 1994 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Rancho Santa Fe, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 27, 2020 to Mar 31, 2025 · San Diego, Ca
- F••••• I••••••••• independent RIAMar 19, 2003 to Feb 7, 2020 · Rancho Santa Fe, Ca
- M••••• S•••••• D• I••• unclassifiedJul 17, 2001 to Mar 10, 2003 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- F••••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 7, 2020, registered Mar 27, 2020 (49 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to F••••• I•••••••••left Mar 10, 2003, registered Mar 19, 2003 (9 days) · Other
Signals
No dated event on this person.
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address