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RIA Intelligence
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Registered advisor
A••••• B•••••• K••••••
Feed of 09/14/2026
At current firm
3 y
since Mar 3, 2023
In the industry
18 y
since Jan 31, 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••••••••• C•••••• M••••••••• state registered currentsince Mar 3, 2023 · New York, Ny
- W•••• F•••• A••••••• wirehouseOct 22, 2009 to May 27, 2015 · Hauppauge, Ny
- O••••••••• • C•• I••• BD affiliatedFeb 1, 2008 to Nov 2, 2009 · Jericho, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C••••••••• C•••••• M•••••••••left May 27, 2015, registered Mar 3, 2023 (2837 days) · Wirehouse to a state-registered adviser
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Nov 2, 2009, registered Oct 22, 2009 (-11 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address