DFX Intelligence
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Registered advisor
K••••• A•• G••••••••
Feed of 09/14/2026
Also filed as K••••• A•• M•••••
At current firm
13 y
since Dec 21, 2012
In the industry
30 y
since Sep 19, 1996 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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•••••• S••••• • C••• I••• national BD currentsince Dec 21, 2012 · Lone Tree, Co
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Dec 21, 2012 · Englewood, Co
Moves
a registration end followed by a registration begin elsewhere
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Dec 21, 2012, registered Dec 21, 2012 (0 days) · channel change inside one enterprise, 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address