DFX Intelligence
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Registered advisor
K•••••• G•••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as K•••••• R•• H••••••••• H••••••••• R•• G••••••••• H••••••••• G•••••••••
At current firm
4 y
since Dec 23, 2021
In the industry
18 y
since Mar 10, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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•• F•••••••• L•• BD affiliated currentsince Dec 23, 2021 · Spearfish, Sd
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 24, 2016 to Dec 7, 2017 · Denver, Co
- R•••••• J•••• • A••••••••• I••• national BDNov 13, 2015 to Jun 6, 2016 · Boulder, Co
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 20, 2013 to Oct 28, 2015 · Denver, Co
- C••••• C••••••• L•• formerMar 4, 2013 to Aug 16, 2013 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Dec 7, 2017, registered Dec 23, 2021 (1477 days) · Other
- R•••••• J•••• • A••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Jun 6, 2016, registered Jun 24, 2016 (18 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to R•••••• J•••• • A••••••••• I•••left Oct 28, 2015, registered Nov 13, 2015 (16 days) · Other
- C••••• C••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 16, 2013, registered Aug 20, 2013 (4 days) · channel change inside one enterprise, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address