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•••••••

T••••• A•••• M••••••••• L••independent RIALittleton, Co IA-onlyIAPD 7287010

Feed of 09/15/2026

Also filed as G••• K•••••••

At current firm

2 y

since Jan 23, 2024

In the industry

12 y

since May 1, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••• A•••• M••••••••• L•• independent RIA current
since Jan 23, 2024 · Salt Lake City, Ut
E•••• S••••••••• L•• BD affiliated
Apr 26, 2023 to Jul 14, 2023 · Sandy, Ut
E•••••••• M••• A•••• M••••••••• L•• independent RIA
Sep 7, 2022 to Sep 30, 2022 · Danville, Ca
V••••• A•••• M••••••••• independent RIA
May 31, 2022 to Sep 28, 2022 · Lehi, Ut

Moves

a registration end followed by a registration begin elsewhere

E•••• S••••••••• L•• to T••••• A•••• M••••••••• L••
left Jul 14, 2023, registered Jan 23, 2024 (193 days) · Affiliated broker-dealer or bank to independent RIA
E•••••••• M••• A•••• M••••••••• L•• to E•••• S••••••••• L••
left Sep 30, 2022, registered Apr 26, 2023 (208 days) · Other
V••••• A•••• M••••••••• to E•••••••• M••• A•••• M••••••••• L••
left Sep 28, 2022, registered Sep 7, 2022 (-21 days) · RIA to a newly registered adviser · moved with a team

Signals

G••• K••••••• left E•••• S••••••••• L•• for T••••• A•••• M••••••••• L•• (registered 2024-01-23)
Jul 14, 2023 · Advisor changed firm · fact
G••• K••••••• left E•••••••• M••• A•••• M••••••••• L•• for E•••• S••••••••• L•• (registered 2023-04-26)
Sep 30, 2022 · Advisor changed firm · fact
G••• K••••••• left V••••• A•••• M••••••••• for E•••••••• M••• A•••• M••••••••• L•• (registered 2022-09-07)
Sep 28, 2022 · 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address