DFX Intelligence
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Registered advisor
G••••• A•••••• K••••
Feed of 09/14/2026
Also filed as G••••• A• K••••
At current firm
2 y
since May 15, 2024
In the industry
30 y
since Mar 6, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 15, 2024 · Beverly Hills, Ca
- M••••• S•••••• wirehouseDec 15, 2015 to May 24, 2024 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseFeb 8, 2008 to Dec 17, 2015 · Woodland Hills, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 13, 2008 · Beverly Hills, Ca
- M••••• S•••••• D• I••• unclassifiedAug 9, 2004 to Apr 2, 2007 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 7, 2000 to Aug 20, 2004 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left May 24, 2024, registered May 15, 2024 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- W•••• F•••• A••••••• to M••••• S••••••left Dec 17, 2015, registered Dec 15, 2015 (-2 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to W•••• F•••• A•••••••left Feb 13, 2008, registered Feb 8, 2008 (-5 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Aug 20, 2004, registered Aug 9, 2004 (-11 days) · Other
Signals
- ••• LockedMay 24, 2024 · Advisor changed firm · fact
Transition signalsWhat these will draw onThe 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.
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