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RIA Intelligence
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Registered advisor
S•••••• K•••• M•••••••
Feed of 09/15/2026
Also filed as S•••••• M•••••••
At current firm
12 y
since Apr 16, 2014
In the industry
18 y
since Feb 1, 2008 (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
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••••••••• F•••••••• N•••••• national BD currentsince Apr 16, 2014 · San Diego, Ca
- H•••••• S••••••••• I••• BD affiliatedMay 8, 2009 to Apr 8, 2014 · Austin, Tx
- U•• F•••••••• S••••••• I••• wirehouseMar 6, 2008 to May 13, 2009 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- H•••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Apr 8, 2014, registered Apr 16, 2014 (8 days) · Other
- U•• F•••••••• S••••••• I••• to H•••••• S••••••••• I•••left May 13, 2009, registered May 8, 2009 (-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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address