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.
Feed of 09/15/2026
Also filed as Kara Eve Marie Galle
At current firm
1 y
since Oct 22, 2024
In the industry
12 y
since Aug 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Enterprise, LLC BD affiliated currentsince Oct 22, 2024 · Omaha, Ne
- LPL Financial LLC BD affiliatedMar 4, 2024 to Oct 21, 2024 · Omaha, Ne
- Bancwest Investment Services, Inc. (Bwis) formerNov 10, 2021 to Jul 28, 2023 · Omaha, Ne
- Securities America Advisors, Inc. formerOct 25, 2017 to Oct 15, 2021 · La Vista, Ne
Moves
a registration end followed by a registration begin elsewhere
- LPL Financial LLC to LPL Enterprise, LLCleft Oct 21, 2024, registered Oct 22, 2024 (1 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- Bancwest Investment Services, Inc. (Bwis) to LPL Financial LLCleft Jul 28, 2023, registered Mar 4, 2024 (220 days) · corporate re-registration, not a move
- Securities America Advisors, Inc. to Bancwest Investment Services, Inc. (Bwis)left Oct 15, 2021, registered Nov 10, 2021 (26 days) · Affiliated broker-dealer or bank to another
Signals
- Kara Galle left Lpl Financial Llc for Lpl Enterprise, Llc (registered 2024-10-22)Oct 21, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address