DFX Intelligence
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Registered advisor
K••••••• K••• G••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as K••••••• A•• K••••••••• K••• G••••••••• A•• K••••••••• A•• K••••••••• G••••••
At current firm
15 y
since Oct 19, 2010
In the industry
31 y
since Sep 15, 1995 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, 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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 19, 2010 · Morgan Hill, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Oct 19, 2010 · San Jose, Ca
- A• G• E•••••• • S•••• I••• unclassifiedOct 27, 2004 to Jan 1, 2008 · Woodstock, Il
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 19, 2010, registered Oct 19, 2010 (0 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (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
- 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