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D•••• A••• K•••
- Professional profile
- ••• Lockedreportedadviserinfo.sec.govForm ADV Item 1.I, Sep 14, 2026
Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
- N•••• S••••••••• W••••• A•••••••• L•• former currentsince Sep 28, 2016 · S•••••••••, Az
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 9, 2016 · Scottsdale, Az
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · S•••••••••, Az
- M••••• S•••••• D• I••• unclassifiedFeb 24, 2006 to Apr 2, 2007 · S•••••••••, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 10, 1997 to Mar 14, 2006 · Mesa, Az
- M••••• S•••••• to N•••• S••••••••• W••••• A•••••••• L••left Sep 9, 2016, registered Sep 28, 2016 (19 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Mar 14, 2006, registered Feb 24, 2006 (-18 days) · Other
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.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Former SEC-registered adviserderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address