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•••••• B••••

E•••••• A••••••• G••••• L••BD affiliatedHighlands Ranch, Co dual registrantIAPD 5183241

Feed of 09/14/2026

Also filed as K•••••• Gail B••••

At current firm

3 y

since Jun 8, 2023

In the industry

20 y

since Sep 18, 2006 (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

E•••••• A••••••• G••••• L•• BD affiliated current
since Jun 8, 2023 · Highlands Ranch, Co
T• A••••••••• I••• former
May 3, 2022 to Oct 14, 2022 · Omaha, Ne
C•••••• S••••• • C••• I••• national BD
Feb 7, 2007 to Jun 2, 2023 · Englewood, Co
A••••••••• F•••••••• S•••••••• L•• national BD
Sep 19, 2006 to Dec 5, 2006 · Denver, Co

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left Jun 2, 2023, registered May 3, 2022 (-395 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to E•••••• A••••••• G••••• L••
left Oct 14, 2022, registered Jun 8, 2023 (237 days) · Other
A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••
left Dec 5, 2006, registered Feb 7, 2007 (64 days) · Affiliated broker-dealer or bank to another

Signals

K•••••• B•••• left T• A••••••••• I••• for E•••••• A••••••• G••••• L•• (registered 2023-06-08)
Oct 14, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address