DFX Intelligence

RIA Intelligence

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Registered advisor

C••••••••• K• G•••••••

S••••••••• P•••••••• L••independent RIABraintree, MaIA-onlyIAPD 4228303

Certified Financial Planner

Feed of 09/14/2026

Also filed as C••••••••• K• G•••••••

At current firm

2 y

since Nov 17, 2023

In the industry

25 y

since Sep 6, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••••••• P•••••••• L•• independent RIA current
since Nov 17, 2023 · Braintree, Ma
M••••• S•••••• wirehouse
Sep 11, 2015 to Nov 28, 2023 · Norwell, Ma
U•• F•••••••• S••••••• I••• wirehouse
Oct 13, 2008 to Sep 22, 2015 · Rockland, Ma
A• G• E•••••• • S•••• I••• unclassified
Apr 24, 2007 to Sep 6, 2007 · Norwell, Ma

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to S••••••••• P•••••••• L••
left Nov 28, 2023, registered Nov 17, 2023 (-11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
U•• F•••••••• S••••••• I••• to M••••• S••••••
left Sep 22, 2015, registered Sep 11, 2015 (-11 days) · Wirehouse to wirehouse · moved with a team
A• G• E•••••• • S•••• I••• to U•• F•••••••• S••••••• I•••
left Sep 6, 2007, registered Oct 13, 2008 (403 days) · Other

Signals

C••••••••• K• G••••••• left M••••• S•••••• for S••••••••• P•••••••• L•• (registered 2023-11-17)
Nov 28, 2023 · Advisor changed firm · fact

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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address