DFX Intelligence
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Registered advisor
G••••• K••• E••••••
Feed of 09/14/2026
At current firm
1 y
since Nov 14, 2024
In the industry
19 y
since Jan 5, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Collierville, Tn
- P•••• S••••••••• L•• no RAUMSep 14, 2017 to Nov 14, 2024 · Franklin, Tn
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 8, 2014 to Aug 29, 2017 · Memphis, Tn
- P••• A••••• S••••••••• L•• BD affiliatedJun 13, 2013 to Apr 14, 2014 · Memphis, Tn
- W••••••• F•••••••• S•••••••• I••• formerFeb 27, 2009 to Jun 25, 2009 · Germantown, Tn
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Aug 29, 2017, registered Sep 14, 2017 (16 days) · Other
- P••• A••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Apr 14, 2014, registered May 8, 2014 (24 days) · Other
- W••••••• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left Jun 25, 2009, registered Jun 13, 2013 (1449 days) · Other
Signals
No dated event on this person.
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address