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••••• C••••••

S•• L••• W••••• A•••••••independent RIASan L••• Obispo, CaIA-onlyIAPD 6268908

Feed of 09/14/2026

Also filed as M••••••• K••••• C••••••

At current firm

1 y

since Sep 3, 2025

In the industry

12 y

since Nov 1, 2013 (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

S•• L••• W••••• A••••••• independent RIA current
since Sep 3, 2025 · San L••• Obispo, Ca
C•••• P•••••• W••••• A•••••••• L•• independent RIA
Oct 19, 2020 to Oct 3, 2025 · San L••• Obispo, Ca
L•• F•••••••• L•• BD affiliated
Aug 2, 2019 to Sep 29, 2020 · San L••• Obispo, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 7, 2018 to Jul 16, 2019 · San L••• Obispo, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••• P•••••• W••••• A•••••••• L•• to S•• L••• W••••• A•••••••
left Oct 3, 2025, registered Sep 3, 2025 (-30 days) · RIA to RIA · moved with a team
L•• F•••••••• L•• to C•••• P•••••• W••••• A•••••••• L••
left Sep 29, 2020, registered Oct 19, 2020 (20 days) · Affiliated broker-dealer or bank to a newly registered adviser
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••
left Jul 16, 2019, registered Aug 2, 2019 (17 days) · Wirehouse to independent RIA

Signals

M••••••• K••••• C•••••• left C•••• P•••••• W••••• A•••••••• L•• for S•• L••• W••••• A••••••• (registered 2025-09-03)
Oct 3, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address