DFX Intelligence
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Registered advisor
G••• A••• K•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as G••• A K•••••
At current firm
11 y
since Dec 17, 2014
In the industry
27 y
since Sep 1, 1999 (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
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
- W•••• F•••• A••••••• wirehouse currentsince Dec 17, 2014 · Irvine, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 18, 2014 · Newport Beach, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 4, 2007 to Oct 23, 2009 · Newport Beach, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedApr 21, 2003 to May 11, 2007 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 1, 2001 to Apr 25, 2003 · Laguna Niguel, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Dec 18, 2014, registered Dec 17, 2014 (-1 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- U••• B•••••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left May 11, 2007, registered May 4, 2007 (-7 days) · Other
- C•••••••• G••••• M•••••• I••• to U••• B•••••• A•••••••• L••left Apr 25, 2003, registered Apr 21, 2003 (-4 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address