DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
P•••• G••••• K•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as P•••• G•••••
At current firm
7 y
since Sep 27, 2018
In the industry
25 y
since Aug 8, 2001 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
16
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
- V•••••• A•••••••• I••• BD affiliated currentsince Sep 27, 2018 · Cincinnati, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDAug 8, 2001 to Oct 1, 2018 · Columbus, Oh
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to V•••••• A•••••••• I•••left Oct 1, 2018, registered Sep 27, 2018 (-4 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address