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RIA Intelligence
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Registered advisor
K••• J•••• G•••••
Feed of 09/14/2026
At current firm
5 y
since Mar 21, 2021
In the industry
29 y
since Nov 19, 1996 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L••• H•••• W••••• M••••••••• L•• independent RIA currentsince Mar 21, 2021 · Austin, Tx
- W•••• F•••• A••••••• wirehouseAug 18, 2017 to Dec 2, 2020 · Bee Cave, Tx
- S•••••• N••••••• • C••••••• I••••••••• national BDJun 21, 2013 to Aug 25, 2017 · Austin, Tx
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Jun 26, 2013 · Austin, Tx
- M••••• K••••• • C••••••• L•• formerMay 6, 2005 to Feb 13, 2013 · Austin, Tx
- L••• M•••• W••• W•••••• I••••••••• unclassifiedSep 6, 2001 to May 12, 2005 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L••• H•••• W••••• M••••••••• L••left Dec 2, 2020, registered Mar 21, 2021 (109 days) · Wirehouse to independent RIA
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Aug 25, 2017, registered Aug 18, 2017 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 26, 2013, registered Jun 21, 2013 (-5 days) · Affiliated broker-dealer or bank to another
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to M••••• K••••• • C••••••• L••left May 12, 2005, registered May 6, 2005 (-6 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The 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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address