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Registered advisor
K•••••• D•••• M•••••
Feed of 09/15/2026
At current firm
8 y
since Apr 20, 2018
In the industry
44 y
since Dec 28, 1981 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
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
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 20, 2018 · Ladera Ranch, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 31, 2011 to May 1, 2018 · Bend, Or
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 9, 2011 · La Quinta, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · La Quinta, Ca
- M••••• S•••••• D• I••• unclassifiedOct 28, 2002 to Apr 2, 2007 · La Quinta, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left May 1, 2018, registered Apr 20, 2018 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 9, 2011, registered Oct 31, 2011 (-9 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address