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

P••• F• K••••••

E•••••• A••••••• G••••• L••BD affiliatedGreenwood Village, Co dual registrantIAPD 2461014

Feed of 09/15/2026

Also filed as P••• Freeman K••••••

At current firm

0 y

since May 12, 2026

In the industry

27 y

since May 10, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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••••••• G••••• L•• BD affiliated current
since May 12, 2026 · Shoreline, Wa
C•••••• S••••• • C••• I••• national BD
Jan 26, 2022 to Apr 22, 2026 · Seattle, Wa
T• A••••••••• I••••••••• M••••••••• L•• former
Mar 8, 2018 to Sep 7, 2023 · Lynnwood, Wa
T• A••••••••• I••• former
Mar 8, 2018 to Oct 14, 2022 · Lynnwood, Wa
S•••••••• I••••••••• M••••••••• former
Oct 6, 2016 to Mar 8, 2018 · Saint Louis, Mo
T••••••• I••••••••• M••••••••• I••• BD affiliated
Dec 19, 2014 to Jan 14, 2015 · Bellevue, Wa
E•••••• C•••••• M••••••••• L•• former
Sep 27, 2006 to Jul 28, 2008 · Jersey City, Nj
T• A••••••••• I••• former
Jun 10, 2003 to Sep 27, 2006 · Beverly Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to E•••••• A••••••• G••••• L••
left Apr 22, 2026, registered May 12, 2026 (20 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Mar 8, 2018 (-1681 days) · corporate re-registration, not a move
S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••
left Mar 8, 2018, registered Mar 8, 2018 (0 days) · channel change inside one enterprise, not a move
T••••••• I••••••••• M••••••••• I••• to S•••••••• I••••••••• M•••••••••
left Jan 14, 2015, registered Oct 6, 2016 (631 days) · Other
E•••••• C•••••• M••••••••• L•• to T••••••• I••••••••• M••••••••• I•••
left Jul 28, 2008, registered Dec 19, 2014 (2335 days) · Other
T• A••••••••• I••• to E•••••• C•••••• M••••••••• L••
left Sep 27, 2006, registered Sep 27, 2006 (0 days) · Other

Signals

P••• F• K•••••• left C•••••• S••••• • C••• I••• for E•••••• A••••••• G••••• L•• (registered 2026-05-12)
Apr 22, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address