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RIA Intelligence
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Registered advisor
J•••••• M••• K••••••••
Feed of 09/15/2026
At current firm
5 y
since Dec 11, 2020
In the industry
32 y
since Nov 1, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
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
- N•• E••• W••••• BD affiliated currentsince Dec 11, 2020 · Darien, Ct
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 2008 to Dec 22, 2020 · New York, Ny
- L••••• B••••••• I••• unclassifiedSep 24, 2003 to Oct 2, 2008 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedMay 22, 2002 to Sep 22, 2003 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to N•• E••• W•••••left Dec 22, 2020, registered Dec 11, 2020 (-11 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- L••••• B••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 2, 2008, registered Sep 19, 2008 (-13 days) · Other
- M••••• S•••••• • C•• L•• to L••••• B••••••• I•••left Sep 22, 2003, registered Sep 24, 2003 (2 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address