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

G••••• C•••••••••

K••••• A••••••• S•••••••• L••BD affiliatedSan Jose, Ca dual registrantIAPD 5607023

Certified Financial Planner

Feed of 09/15/2026

At current firm

1 y

since Nov 6, 2024

In the industry

16 y

since Apr 9, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

K••••• A••••••• S•••••••• L•• BD affiliated current
since Nov 6, 2024 · San Jose, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Jan 22, 2021 to Oct 30, 2024 · San Jose, Ca
M•••••• A•••••• N•••••• BD affiliated
Apr 4, 2019 to Aug 21, 2023 · San Jose, Ca
U••• B•••••• A•••••••• L•• BD affiliated
Jun 29, 2016 to Apr 4, 2019 · Palo Alto, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Apr 13, 2010 to Apr 5, 2012 · Palo Alto, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to K••••• A••••••• S•••••••• L••
left Oct 30, 2024, registered Nov 6, 2024 (7 days) · Affiliated broker-dealer or bank to another
M•••••• A•••••• N•••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Aug 21, 2023, registered Jan 22, 2021 (-941 days) · Affiliated broker-dealer or bank to another
U••• B•••••• A•••••••• L•• to M•••••• A•••••• N••••••
left Apr 4, 2019, registered Apr 4, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• A•••••••• L••
left Apr 5, 2012, registered Jun 29, 2016 (1546 days) · Other

Signals

G••••• C••••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for K••••• A••••••• S•••••••• L•• (registered 2024-11-06)
Oct 30, 2024 · a•••••• firm change · fact
G••••• C••••••••• left M•••••• A•••••• N•••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2021-01-22)
Aug 21, 2023 · a•••••• firm change · 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: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address