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

K•••• S• G••••••••

R•••••• J•••• • A••••••••• I•••national BDSt. Petersburg, Fl dual registrantIAPD 5034829

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••• Scott G••••••••

At current firm

2 y

since Aug 22, 2024

In the industry

21 y

since Sep 1, 2005 (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

R•••••• J•••• • A••••••••• I••• national BD current
since Aug 22, 2024 · Fort Mill, Sc
J••• M••••• S••••••••• L•• wirehouse
May 23, 2022 to Jul 26, 2024 · Charlotte, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jul 19, 2019 to May 10, 2022 · Charlotte, Nc
B•••••••• I••••••••• M••••••••• L•• asset manager
Sep 29, 2006 to Jan 15, 2019 · Plainsboro, Nj
M•••••• L•••• I••••••••• M••••••• L• unclassified
Jun 23, 2006 to Sep 29, 2006 · Plainsboro, Nj

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Jul 26, 2024, registered Aug 22, 2024 (27 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left May 10, 2022, registered May 23, 2022 (13 days) · Wirehouse to wirehouse
B•••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 15, 2019, registered Jul 19, 2019 (185 days) · Other
M•••••• L•••• I••••••••• M••••••• L• to B•••••••• I••••••••• M••••••••• L••
left Sep 29, 2006, registered Sep 29, 2006 (0 days) · corporate re-registration, not a move

Signals

K•••• S• G•••••••• left J••• M••••• S••••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2024-08-22)
Jul 26, 2024 · Advisor changed firm · fact
K•••• S• G•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2022-05-23)
May 10, 2022 · 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: National broker-dealer RIAderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address