DFX Intelligence
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Registered advisor
G•••••• L• K•••
Feed of 09/15/2026
Also filed as G••• L• K••••••••• K•••••••• L• K•••••••• K••••••••• L•••• K•••
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Sep 11, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · San Francisco, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 24, 2017 to Jul 13, 2018 · Greenwood Village, Co
- E•••••••• A•••••••• L•• national BDJun 9, 2009 to May 19, 2011 · Fort Worth, Tx
- W•••• F•••• I••••••••• L•• unclassifiedSep 11, 2006 to Jun 1, 2009 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to S•••••••• A••••••• L••left May 19, 2011, registered Jan 24, 2017 (2077 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• I••••••••• L•• to E•••••••• A•••••••• L••left Jun 1, 2009, registered Jun 9, 2009 (8 days) · Other
Signals
No dated event on this person.
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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address