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RIA Intelligence
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Registered advisor
K••• R•• M••••••••
Feed of 09/14/2026
At current firm
1 y
since Mar 31, 2025
In the industry
24 y
since May 31, 2002 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Palm Springs, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 4, 2022 to Mar 31, 2025 · Palm Springs, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 14, 2017 to Aug 24, 2022 · Fresno, Ca
- U••• B•••••• I••••••••• I••• formerNov 10, 2011 to Dec 12, 2017 · Palm Desert, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedAug 8, 2008 to Nov 7, 2011 · Palm Springs, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 31, 2002 to May 18, 2005 · Long Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- 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
- C•••••••• G••••• M•••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 24, 2022, registered Nov 4, 2022 (72 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• I••••••••• I••• to C•••••••• G••••• M•••••• I•••left Dec 12, 2017, registered Dec 14, 2017 (2 days) · Other
- U••• B•••••• A•••••••• L•• to U••• B•••••• I••••••••• I•••left Nov 7, 2011, registered Nov 10, 2011 (3 days) · Other
- W•••• F•••• I••••••••• L•• to U••• B•••••• A•••••••• L••left May 18, 2005, registered Aug 8, 2008 (1178 days) · Other
Signals
- K••• R•• M•••••••• left C•••••••• G••••• M•••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-11-04)Aug 24, 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address