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••••• K•••••••

F••••••••• I••••••••• A••••••• L••independent RIAWaretown, Nj IA-onlyIAPD 5667906

Certified Financial Planner

Feed of 09/15/2026

At current firm

1 y

since Jun 4, 2025

In the industry

17 y

since Aug 10, 2009 (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

F••••••••• I••••••••• A••••••• L•• independent RIA current
since Jun 4, 2025 · Phoenix, Az
S•••• I••••• S••••••••• L•• independent RIA
Nov 17, 2023 to May 15, 2025 · Fort Lauderdale, Fl
B•••••••• A•••• M••••••••• L•• independent RIA
Sep 5, 2019 to Nov 21, 2023 · Waretown, Nj
A•••• P•••• A••••••• former
Apr 11, 2016 to Aug 30, 2019 · Waretown, Nj
C••••• A••••••• L•• former
Mar 19, 2013 to Apr 7, 2016 · Webster, Ny
I••••• F•••••••• C••••••••• former
Nov 22, 2011 to Mar 20, 2013 · Williamston, Mi
E•••••••• A•••••••• L•• national BD
Aug 11, 2009 to Dec 4, 2009 · Woodbridge, Nj

Moves

a registration end followed by a registration begin elsewhere

S•••• I••••• S••••••••• L•• to F••••••••• I••••••••• A••••••• L••
left May 15, 2025, registered Jun 4, 2025 (20 days) · RIA to RIA
B•••••••• A•••• M••••••••• L•• to S•••• I••••• S••••••••• L••
left Nov 21, 2023, registered Nov 17, 2023 (-4 days) · RIA to RIA
A•••• P•••• A••••••• to B•••••••• A•••• M••••••••• L••
left Aug 30, 2019, registered Sep 5, 2019 (6 days) · Affiliated broker-dealer or bank to independent RIA
C••••• A••••••• L•• to A•••• P•••• A•••••••
left Apr 7, 2016, registered Apr 11, 2016 (4 days) · Other
I••••• F•••••••• C••••••••• to C••••• A••••••• L••
left Mar 20, 2013, registered Mar 19, 2013 (-1 days) · Other
E•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••
left Dec 4, 2009, registered Nov 22, 2011 (718 days) · Other

Signals

G••••• K••••••• left S•••• I••••• S••••••••• L•• for F••••••••• I••••••••• A••••••• L•• (registered 2025-06-04)
May 15, 2025 · Advisor changed firm · fact
G••••• K••••••• left B•••••••• A•••• M••••••••• L•• for S•••• I••••• S••••••••• L•• (registered 2023-11-17)
Nov 21, 2023 · 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: Independent wealth managerderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address