DFX Intelligence
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Registered advisor
G•••••••• K• S••••
Feed of 09/14/2026
Also filed as S••••• S••••••••• K••• S••••
At current firm
14 y
since Jan 30, 2012
In the industry
31 y
since Oct 31, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
7
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jan 30, 2012 · San Diego, Ca
- P•••• S••••••••• L•• no RAUMAug 17, 2004 to Jan 28, 2010 · San Diego, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJun 7, 1999 to Sep 4, 2002 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Jan 28, 2010, registered Jan 30, 2012 (732 days) · Other
- P••••••••• E••••• G••••• L•• to P•••• S••••••••• L••left Sep 4, 2002, registered Aug 17, 2004 (713 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address