DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

K•••••• S••••••• C•••••

U•• F•••••••• S••••••• I•••wirehouseSan Francisco, Cadual registrantIAPD 4878756

Certified Financial Planner

Feed of 09/14/2026

Also filed as K•••••• Jeanne S•••••••

At current firm

2 y

since Jun 3, 2024

In the industry

21 y

since Oct 1, 2004 (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

U•• F•••••••• S••••••• I••• wirehouse current
since Jun 3, 2024 · San Francisco, Ca
R•• C•••••• M••••••• L•• national BD
Apr 26, 2023 to Jun 21, 2024 · San Francisco, Ca
J••• M••••• P•••••• W••••• A••••••• L•• former
Sep 11, 2020 to May 18, 2023 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 12, 2010 to Sep 15, 2020 · San Francisco, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 31, 2005 to Sep 2, 2009 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••
left Jun 21, 2024, registered Jun 3, 2024 (-18 days) · Affiliated broker-dealer or bank to wirehouse
J••• M••••• P•••••• W••••• A••••••• L•• to R•• C•••••• M••••••• L••
left May 18, 2023, registered Apr 26, 2023 (-22 days) · Affiliated broker-dealer or bank to another · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••
left Sep 15, 2020, registered Sep 11, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team

Signals

K•••••• S••••••• C••••• left R•• C•••••• M••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2024-06-03)
Jun 21, 2024 · Advisor changed firm · fact
K•••••• S••••••• C••••• left J••• M••••• P•••••• W••••• A••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-04-26)
May 18, 2023 · 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: Wirehousederived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address