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•••••

M••••• S••••••wirehouseBeverly Hills, Cadual registrantIAPD 5858992

Feed of 09/14/2026

Also filed as K•••• S•••••

At current firm

0 y

since Feb 2, 2026

In the industry

14 y

since Aug 27, 2012 (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

M••••• S•••••• wirehouse current
since Feb 2, 2026 · Beverly Hills, Ca
F••••••• S••••••••• I••• independent RIA
Mar 28, 2022 to Feb 3, 2026 · New York, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Apr 3, 2020 to Mar 28, 2022 · Fort Mill, Sc
H••• S••••••••• •••• I••• BD affiliated
Nov 7, 2013 to Apr 10, 2020 · Beverly Hills, Ca
W•••••• • R••• former
Aug 29, 2012 to Oct 30, 2013 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

F••••••• S••••••••• I••• to M••••• S••••••
left Feb 3, 2026, registered Feb 2, 2026 (-1 days) · RIA to wirehouse
C•••••••• G••••• M•••••• I••• to F••••••• S••••••••• I•••
left Mar 28, 2022, registered Mar 28, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••
left Apr 10, 2020, registered Apr 3, 2020 (-7 days) · Affiliated broker-dealer or bank to another
W•••••• • R••• to H••• S••••••••• •••• I•••
left Oct 30, 2013, registered Nov 7, 2013 (8 days) · Other

Signals

K•••• S••••• left F••••••• S••••••••• I••• for M••••• S•••••• (registered 2026-02-02)
Feb 3, 2026 · Advisor changed firm · fact
K•••• S••••• left C•••••••• G••••• M•••••• I••• for F••••••• S••••••••• I••• (registered 2022-03-28)
Mar 28, 2022 · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address