DFX Intelligence
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Registered advisor
G•••• D•••• K••••
Feed of 09/15/2026
At current firm
11 y
since Jul 27, 2015
In the industry
31 y
since Jan 10, 1995 (earliest exam, job or registration)
Prior registered firms
4
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 27, 2015 · Roseville, Ca
- W•••• F•••• A••••••• wirehouseAug 31, 2007 to Jul 27, 2015 · Auburn, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 20, 2004 to Sep 10, 2007 · Roseville, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 26, 2004 · Roseville, Ca
- P••••••••• E••••• G••••• L•• unclassifiedJul 8, 1997 to Jul 1, 2003 · Roseville, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 27, 2015, registered Jul 27, 2015 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Sep 10, 2007, registered Aug 31, 2007 (-10 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Aug 26, 2004, registered Aug 20, 2004 (-6 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address