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RIA Intelligence
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Registered advisor
K•••• P••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
7 y
since Oct 22, 2018
In the industry
39 y
since Jul 30, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- I•• W••••• M••••••••• L•• BD affiliated currentsince Oct 22, 2018 · Orlando, Fl
- I••••••••• F•••••••• P••••••• BD affiliatedMay 1, 2014 to Dec 31, 2018 · Orlando, Fl
- C••••• A•••••• N••••••• L•• formerApr 23, 2007 to Apr 28, 2014 · Paramus, Nj
- F•••• M•••••• S••••••••• C•••• unclassifiedJun 17, 2004 to Apr 4, 2007 · Orlando, Fl
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• F•••••••• P••••••• to I•• W••••• M••••••••• L••left Dec 31, 2018, registered Oct 22, 2018 (-70 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••• A•••••• N••••••• L•• to I••••••••• F•••••••• P•••••••left Apr 28, 2014, registered May 1, 2014 (3 days) · Other
- F•••• M•••••• S••••••••• C•••• to C••••• A•••••• N••••••• L••left Apr 4, 2007, registered Apr 23, 2007 (19 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address