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RIA Intelligence
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Registered advisor
J•••• I•••• K•••
Feed of 09/14/2026
At current firm
14 y
since Feb 21, 2012
In the industry
23 y
since Feb 21, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- L•• F•••••••• L•• BD affiliated currentsince Feb 21, 2012 · Lakewood, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedNov 8, 2006 to Feb 21, 2012 · Yorba Linda, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 10, 2005 to Nov 8, 2006 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• A•••••••• L•• to L•• F•••••••• L••left Feb 21, 2012, registered Feb 21, 2012 (0 days) · Other
- W•••• F•••• I••••••••• L•• to U••• B•••••• A•••••••• L••left Nov 8, 2006, registered Nov 8, 2006 (0 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address