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

M••• K•••••••• P•••••

C••••••••• W•••••• L••independent RIASeattle, Wa IA-onlyIAPD 1581101

Feed of 09/15/2026

Also filed as M K•••••••• P•••••

At current firm

1 y

since Mar 11, 2025

In the industry

39 y

since Nov 1, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• W•••••• L•• independent RIA current
since Mar 11, 2025 · Seattle, Wa
U•••••••• W••••• P••••••• former
Jul 31, 2019 to May 12, 2025 · Seattle, Wa
W•••• F•••• A••••••• wirehouse
Aug 14, 2009 to Aug 6, 2019 · Seattle, Wa
M••••• S•••••• wirehouse
Jun 1, 2009 to Sep 4, 2009 · Seattle, Wa
C•••••••• G••••• M•••••• I••• BD affiliated
Jun 13, 2000 to Jun 1, 2009 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

U•••••••• W••••• P••••••• to C••••••••• W•••••• L••
left May 12, 2025, registered Mar 11, 2025 (-62 days) · RIA to RIA · moved with a team
W•••• F•••• A••••••• to U•••••••• W••••• P•••••••
left Aug 6, 2019, registered Jul 31, 2019 (-6 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
M••••• S•••••• to W•••• F•••• A•••••••
left Sep 4, 2009, registered Aug 14, 2009 (-21 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

Signals

M••• K•••••••• P••••• left U•••••••• W••••• P••••••• for C••••••••• W•••••• L•• (registered 2025-03-11)
May 12, 2025 · 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: Independent wealth managerderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address