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Registered advisor
R••••• K•• S•••••
Feed of 09/15/2026
Also filed as R••••• K•• S•••••
At current firm
0 y
since Feb 5, 2026
In the industry
16 y
since Jul 1, 2010 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- P••• A••••• S••••••••• L•• BD affiliated currentsince Feb 5, 2026 · Campbell, Ca
- P••• A••••• S••••••••• L•• BD affiliatedJun 22, 2023 to Dec 22, 2025 · Campbell, Ca
- C••• F•••••••• S•••••••• L••• formerMar 4, 2022 to Nov 10, 2022 · San Francisco, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 29, 2021 to Mar 4, 2022 · San Francisco, Ca
- P•••• S••••••••• L•• no RAUMJan 19, 2018 to Aug 20, 2021 · Walnut Creek, Ca
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 28, 2011 to Jan 10, 2018 · San Francisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to P••• A••••• S••••••••• L••left Nov 10, 2022, registered Jun 22, 2023 (224 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to C••• F•••••••• S•••••••• L•••left Mar 4, 2022, registered Mar 4, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Aug 20, 2021, registered Sep 29, 2021 (40 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Jan 10, 2018, registered Jan 19, 2018 (9 days) · Other
Signals
- R••••• K•• S••••• left C••• F•••••••• S•••••••• L••• for P••• A••••• S••••••••• L•• (registered 2023-06-22)Nov 10, 2022 · Advisor changed firm · fact
- R••••• K•• S••••• left M•• I•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2022-03-04)Mar 4, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address