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••••••• L• C••••••••

K•••••••• W••••• A•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 4390648

Feed of 09/14/2026

Also filed as M••••••• Loraine Logan

At current firm

3 y

since Jan 11, 2023

In the industry

18 y

since Oct 1, 2007 (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

K•••••••• W••••• A•••••••• L•• BD affiliated current
since Jan 11, 2023 · Roseville, Ca
R•••••••• A••••••• independent RIA
Feb 16, 2022 to Mar 2, 2023 · Roseville, Ca
H••••• R•••• former
Jul 31, 2018 to Mar 31, 2022 · Roseville, Ca
W•••• F•••• A••••••• wirehouse
Apr 27, 2010 to Mar 24, 2017 · Roseville, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 3, 2007 to Apr 27, 2010 · Roseville, Ca

Moves

a registration end followed by a registration begin elsewhere

R•••••••• A••••••• to K•••••••• W••••• A•••••••• L••
left Mar 2, 2023, registered Jan 11, 2023 (-50 days) · RIA to RIA · moved with a team
H••••• R•••• to R•••••••• A•••••••
left Mar 31, 2022, registered Feb 16, 2022 (-43 days) · RIA to RIA
W•••• F•••• A••••••• to H••••• R••••
left Mar 24, 2017, registered Jul 31, 2018 (494 days) · Wirehouse to independent RIA · moved with a team
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Apr 27, 2010, registered Apr 27, 2010 (0 days) · Wirehouse to wirehouse

Signals

M••••••• L• C•••••••• left R•••••••• A••••••• for K•••••••• W••••• A•••••••• L•• (registered 2023-01-11)
Mar 2, 2023 · Advisor changed firm · fact
M••••••• L• C•••••••• left H••••• R•••• for R•••••••• A••••••• (registered 2022-02-16)
Mar 31, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address