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••• A•• M•••••••

M• H••••••• S••••••••• I•••BD affiliatedSeattle, WaIA-onlyIAPD 2815352

Feed of 09/14/2026

Also filed as K••• Ann Baerg

At current firm

0 y

since Mar 13, 2026

In the industry

29 y

since Jan 10, 1997 (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

M• H••••••• S••••••••• I••• BD affiliated current
since Mar 13, 2026 · Seattle, Wa
R•••••• I••••••••• asset manager
Jun 25, 2024 to Apr 16, 2026 · Seattle, Wa
M• H••••••• S••••••••• I••• BD affiliated
Sep 22, 2020 to Mar 29, 2024 · Seattle, Wa
M• H••••••• S••••••••• I••• BD affiliated
Apr 20, 2017 to Aug 28, 2020 · Portland, Or
C•••••• W••••• M••••••••• L•• state registered
Nov 22, 2011 to Feb 29, 2024 · Seattle, Wa
R• B••••• I•• unclassified
Feb 10, 1998 to Mar 22, 2010 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

R•••••• I••••••••• to M• H••••••• S••••••••• I•••
left Apr 16, 2026, registered Mar 13, 2026 (-34 days) · Other
M• H••••••• S••••••••• I••• to R•••••• I•••••••••
left Mar 29, 2024, registered Jun 25, 2024 (88 days) · Other
C•••••• W••••• M••••••••• L•• to M• H••••••• S••••••••• I•••
left Feb 29, 2024, registered Apr 20, 2017 (-2506 days) · Other
R• B••••• I•• to C•••••• W••••• M••••••••• L••
left Mar 22, 2010, registered Nov 22, 2011 (610 days) · Other

Signals

K••• A•• M••••••• left R•••••• I••••••••• for M• H••••••• S••••••••• I••• (registered 2026-03-13)
Apr 16, 2026 · Advisor changed firm · fact
K••• A•• M••••••• left M• H••••••• S••••••••• I••• for R•••••• I••••••••• (registered 2024-06-25)
Mar 29, 2024 · Advisor changed firm · fact
K••• A•• M••••••• left C•••••• W••••• M••••••••• L•• for M• H••••••• S••••••••• I••• (registered 2017-04-20)
Feb 29, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address