DFX Intelligence
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Registered advisor
K•••• P•••••• G•••••
Feed of 09/14/2026
At current firm
14 y
since Mar 5, 2012
In the industry
38 y
since Jul 19, 1988 (earliest exam, job or registration)
Prior registered firms
1
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
- C•••••• S••••• • C••• I••• national BD currentsince Mar 5, 2012 · Mequon, Wi
- G••••• A•••• M••••••••• L••• unclassifiedJul 5, 2005 to Jan 23, 2012 · Menomonee Falls, Wi
Moves
a registration end followed by a registration begin elsewhere
- G••••• A•••• M••••••••• L••• to C•••••• S••••• • C••• I•••left Jan 23, 2012, registered Mar 5, 2012 (42 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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