DFX Intelligence
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Registered advisor
P•••• G••• K••••
Feed of 09/14/2026
Also filed as P•••• G••• K••••••••• G••• K••••••••• G••• K••••
At current firm
3 y
since Jul 10, 2023
In the industry
21 y
since Nov 22, 2004 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 10, 2023 · Vero Beach, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 20, 2020 to Jul 12, 2023 · Vero Beach, Fl
- C•••••• S••••• • C••• I••• national BDJan 4, 2011 to Jan 21, 2020 · Orlando, Fl
- E•••••••• A•••••••• L•• national BDApr 30, 2010 to Jun 30, 2010 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 12, 2023, registered Jul 10, 2023 (-2 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 21, 2020, registered Feb 20, 2020 (30 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Jun 30, 2010, registered Jan 4, 2011 (188 days) · Affiliated broker-dealer or bank to another
Signals
- ••• LockedJul 12, 2023 · 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address