B•••• K•••••

S••••• W••••• A•••••••• I•••no RAUMSan Francisco, Cadual registrantIAPD 4155421

Feed of 09/14/2026

Also filed as B•••• A••• K•••••

At current firm

1 y

since Jun 24, 2025

In the industry

22 y

since Nov 26, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• W••••• A•••••••• I••• no RAUM current
since Jun 24, 2025 · San Francisco, Ca
S•••••••• A••••••• L•• national BD
Mar 31, 2025 to May 30, 2025 · Danville, Ca
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Mar 31, 2025 · Boston, Ma
S•••••••• A••••••• L•• national BD
Nov 7, 2017 to Jul 13, 2018 · Walnut Creek, Ca
A••••• A•• P••••••• S••••••• BD affiliated
Aug 22, 2008 to Aug 13, 2012 · Cincinnati, Oh
L•• F•••••••• L•• BD affiliated
Nov 9, 2006 to Aug 5, 2008 · Shaker Hieghts, Oh
C••••••• S••••••••• I••• BD affiliated
Sep 26, 2006 to Oct 30, 2006 · Cleveland, Oh
M••••• S•••••• D• I••• unclassified
Dec 19, 2003 to Oct 1, 2004 · Chagrin Flls, Oh

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to S••••• W••••• A•••••••• I•••
left May 30, 2025, registered Jun 24, 2025 (25 days) · Other · moved with a team
F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
A••••• A•• P••••••• S••••••• to S•••••••• A••••••• L••
left Aug 13, 2012, registered Nov 7, 2017 (1912 days) · Other
L•• F•••••••• L•• to A••••• A•• P••••••• S•••••••
left Aug 5, 2008, registered Aug 22, 2008 (17 days) · Other
C••••••• S••••••••• I••• to L•• F•••••••• L••
left Oct 30, 2006, registered Nov 9, 2006 (10 days) · Other
M••••• S•••••• D• I••• to C••••••• S••••••••• I•••
left Oct 1, 2004, registered Sep 26, 2006 (725 days) · Other

Signals

••• Locked
May 30, 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: No RAUM reportedderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address