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.

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Registered advisor

K•••• J•••• C•••••

A•••••• W••••• M••••••••• L••independent RIAMount Pleasant, Sc dual registrantIAPD 1772397

Certified Financial Planner

Feed of 09/15/2026

Also filed as K•••• J•••• C•••••

At current firm

1 y

since Nov 4, 2024

In the industry

26 y

since Oct 21, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A•••••• W••••• M••••••••• L•• independent RIA current
since Nov 4, 2024 · Mount Pleasant, Sc
R•• C•••••• M••••••• L•• national BD
Jan 15, 2016 to Nov 21, 2024 · Beverly Hills, Ca
W•••• F•••• A••••••• wirehouse
Feb 27, 2009 to Jan 21, 2016 · Los Angeles, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 3, 2006 to Mar 19, 2009 · Los Angeles, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 7, 2002 to Jul 5, 2006 · Century City, Ca

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to A•••••• W••••• M••••••••• L••
left Nov 21, 2024, registered Nov 4, 2024 (-17 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
W•••• F•••• A••••••• to R•• C•••••• M••••••• L••
left Jan 21, 2016, registered Jan 15, 2016 (-6 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
left Mar 19, 2009, registered Feb 27, 2009 (-20 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Jul 5, 2006, registered Jul 3, 2006 (-2 days) · Other

Signals

K•••• J•••• C••••• left R•• C•••••• M••••••• L•• for A•••••• W••••• M••••••••• L•• (registered 2024-11-04)
Nov 21, 2024 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address