G••••• L••

K••••• A••••••• S•••••••• L••BD affiliatedAustin, Tx dual registrantIAPD 5222452

Feed of 09/14/2026

Also filed as G••••• D•••••• L••••••••• D• L••••••••• D• L••

At current firm

1 y

since Apr 9, 2025

In the industry

19 y

since Jul 9, 2007 (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

K••••• A••••••• S•••••••• L•• BD affiliated current
since Apr 9, 2025 · Austin, Tx
L•• F•••••••• L•• BD affiliated
Feb 23, 2021 to Apr 10, 2025 · Austin, Tx
K••••• A••••••• S•••••••• L•• BD affiliated
Apr 20, 2016 to May 12, 2020 · Austin, Tx
N•• A•••••• S•••••••• L•• former
Nov 30, 2012 to Sep 22, 2016 · Austin, Tx
L•• F•••••••• L•• BD affiliated
Apr 24, 2012 to Aug 14, 2012 · Charlotte, Nc
U•••• F•••••••• S••••••• G••••• I••• unclassified
Feb 26, 2010 to Dec 31, 2011 · Charlotte, Nc
U•• F•••••••• S••••••• I••• wirehouse
Dec 23, 2009 to Feb 17, 2010 · Charlotte, Nc
L•• F•••••••• L•• BD affiliated
Mar 1, 2008 to Aug 6, 2009 · Charlotte, Nc
U•••• F•••••••• S••••••• G••••• I••• unclassified
Jul 10, 2007 to Aug 5, 2009 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••
left Apr 10, 2025, registered Apr 9, 2025 (-1 days) · Affiliated broker-dealer or bank to another
K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••
left May 12, 2020, registered Feb 23, 2021 (287 days) · Affiliated broker-dealer or bank to another
N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••
left Sep 22, 2016, registered Apr 20, 2016 (-155 days) · corporate re-registration, not a move
L•• F•••••••• L•• to N•• A•••••• S•••••••• L••
left Aug 14, 2012, registered Nov 30, 2012 (108 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Dec 31, 2011, registered Apr 24, 2012 (115 days) · Other
U•• F•••••••• S••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
left Feb 17, 2010, registered Feb 26, 2010 (9 days) · Other
L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••
left Aug 6, 2009, registered Dec 23, 2009 (139 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
left Aug 5, 2009, registered Mar 1, 2008 (-522 days) · Other

Signals

••• Locked
Apr 10, 2025 · a•••••• firm change · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address