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RIA Intelligence
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Registered advisor
S••••• K••
Feed of 09/15/2026
Also filed as Sua Kim
At current firm
3 y
since Apr 19, 2023
In the industry
19 y
since Jun 12, 2007 (earliest exam, job or registration)
Prior registered firms
4
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Apr 19, 2023 · Scottsdale, Az
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 18, 2009 to Sep 7, 2023 · Las Vegas, Nv
- T• A••••••••• I••• formerAug 18, 2009 to Oct 14, 2022 · Las Vegas, Nv
- W•••••• • R••• formerAug 13, 2008 to Jul 17, 2009 · Las Vegas, Nv
- A••••••••• F•••••••• S•••••••• L•• national BDJun 13, 2007 to Aug 8, 2008 · Henderson, Nv
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Apr 19, 2023 (-141 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Aug 18, 2009 (-4805 days) · corporate re-registration, not a move
- W•••••• • R••• to T• A••••••••• I•••left Jul 17, 2009, registered Aug 18, 2009 (32 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W•••••• • R•••left Aug 8, 2008, registered Aug 13, 2008 (5 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address