DFX Intelligence
RIA Intelligence
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Registered advisor
G••• A• K••••••
Feed of 09/14/2026
At current firm
12 y
since Nov 1, 2013
In the industry
31 y
since Oct 1, 1994 (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
- L••• W••••••••• I••••••••• L•• state registered currentsince Nov 1, 2013 · Baton Rouge, La
- P••• A••••• S••••••••• L•• BD affiliatedFeb 4, 2010 to Sep 7, 2010 · Baton Rouge, La
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to L••• W••••••••• I••••••••• L••left Sep 7, 2010, registered Nov 1, 2013 (1151 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address