DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
S••••• K••• R•••••
Feed of 09/14/2026
Also filed as S••••• K• R••••••••• R•••••
At current firm
3 y
since Oct 18, 2022
In the industry
38 y
since May 18, 1988 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- R••••••••• W••••• P•••••••• L•• independent RIA currentsince Oct 18, 2022 · San Rafael, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 7, 2020 · San Francisco, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Jun 1, 2009 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R••••••••• W••••• P•••••••• L••left Dec 7, 2020, registered Oct 18, 2022 (680 days) · Wirehouse to independent RIA
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address