K•••• A••••••••

S•••••••• A••••••• L••national BDPasadena, Ca dual registrantIAPD 1946016

Feed of 09/15/2026

Also filed as K•••• L••• A••••••••

At current firm

1 y

since Jul 16, 2025

In the industry

37 y

since Jun 14, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Jul 16, 2025 · Pasadena, Ca
M••••• S•••••• wirehouse
Sep 5, 2023 to Jun 5, 2025 · Sandy, Ut
E•••••• C•••••• M••••••••• L•• former
May 25, 2018 to Sep 5, 2023 · Menlo Park, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 4, 2016 to May 22, 2018 · Beverly Hills, Ca
T• A••••••••• I••• former
Jan 4, 2016 to May 22, 2018 · Beverly Hills, Ca
C•••••• S••••• • C••• I••• national BD
Jan 24, 2013 to Jan 27, 2015 · Los Angeles, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Jan 23, 2013 · Sherman Oaks, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jan 4, 2006 to Jun 1, 2009 · Sherman Oaks, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to S•••••••• A••••••• L••
left Jun 5, 2025, registered Jul 16, 2025 (41 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••
left May 22, 2018, registered May 25, 2018 (3 days) · RIA to RIA
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 22, 2018, registered Jan 4, 2016 (-869 days) · channel change inside one enterprise, not a move
C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left Jan 27, 2015, registered Jan 4, 2016 (342 days) · Other
M••••• S•••••• to C•••••• S••••• • C••• I•••
left Jan 23, 2013, registered Jan 24, 2013 (1 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

K•••• A•••••••• left M••••• S•••••• for S•••••••• A••••••• L•• (registered 2025-07-16)
Jun 5, 2025 · 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: National broker-dealer RIAderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address