DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

A••••• G•••• G••••••

L•• F•••••••• L••BD affiliatedGlastonbury, Ctdual registrantIAPD 4649361

Feed of 09/14/2026

Also filed as A••••• Kimberly G••••

At current firm

2 y

since Jun 12, 2024

In the industry

23 y

since Mar 1, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since Jun 12, 2024 · Glastonbury, Ct
S••••• P••••••• G••••• L•• state registered
Sep 7, 2011 to Dec 31, 2024 · Branford, Ct
S••••• A•••• M••••••••• L•• unclassified
Jun 4, 2009 to Aug 24, 2024 · Glastonbury, Ct
S••••• W••••• M••••••••• L•• unclassified
May 3, 2006 to Sep 6, 2011 · East Hartford, Ct
O•••• F•• I••• former
Jan 13, 2004 to Jun 13, 2024 · Glastonbury, Ct

Moves

a registration end followed by a registration begin elsewhere

S••••• P••••••• G••••• L•• to L•• F•••••••• L••
left Dec 31, 2024, registered Jun 12, 2024 (-202 days) · Other
S••••• A•••• M••••••••• L•• to S••••• P••••••• G••••• L••
left Aug 24, 2024, registered Sep 7, 2011 (-4735 days) · Other
O•••• F•• I••• to S••••• W••••• M••••••••• L••
left Jun 13, 2024, registered May 3, 2006 (-6616 days) · Other
S••••• W••••• M••••••••• L•• to S••••• A•••• M••••••••• L••
left Sep 6, 2011, registered Jun 4, 2009 (-824 days) · Other

Signals

A••••• G•••• G•••••• left S••••• P••••••• G••••• L•• for L•• F•••••••• L•• (registered 2024-06-12)
Dec 31, 2024 · Advisor changed firm · fact
A••••• G•••• G•••••• left S••••• A•••• M••••••••• L•• for S••••• P••••••• G••••• L•• (registered 2011-09-07)
Aug 24, 2024 · Advisor changed firm · fact
A••••• G•••• G•••••• left O•••• F•• I••• for S••••• W••••• M••••••••• L•• (registered 2006-05-03)
Jun 13, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address