DFX Intelligence
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Registered advisor
K•••• G•••• H•••••
Feed of 09/14/2026
Also filed as K•••• G•••• A•••••••
At current firm
8 y
since Oct 12, 2017
In the industry
13 y
since Mar 7, 2013 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J• W• C••• A•••••••• I••• BD affiliated currentsince Oct 12, 2017 · Odessa, Fl
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 18, 2015 to Oct 11, 2017 · Red Hook, Ny
Moves
a registration end followed by a registration begin elsewhere
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to J• W• C••• A•••••••• I•••left Oct 11, 2017, registered Oct 12, 2017 (1 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address