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

K• H•• M•

J••• M••••• S••••••••• L••wirehouseBerkeley, Ca dual registrantIAPD 6371079

Feed of 09/15/2026

Also filed as K• H•• M•

At current firm

2 y

since Jul 1, 2024

In the industry

11 y

since Apr 1, 2015 (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

J••• M••••• S••••••••• L•• wirehouse current
since Jul 1, 2024 · Berkeley, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 28, 2022 to Jun 18, 2024 · San Carlos, Ca
C•••••• S••••• • C••• I••• national BD
Apr 26, 2022 to Oct 18, 2022 · Milpitas, Ca
W•••• F•••• A••••••• wirehouse
Jun 7, 2021 to Apr 21, 2022 · Palo Alto, Ca

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to J••• M••••• S••••••••• L••
left Jun 18, 2024, registered Jul 1, 2024 (13 days) · Affiliated broker-dealer or bank to wirehouse
C•••••• S••••• • C••• I••• to C•••••••• G••••• M•••••• I•••
left Oct 18, 2022, registered Oct 28, 2022 (10 days) · Affiliated broker-dealer or bank to another
W•••• F•••• A••••••• to C•••••• S••••• • C••• I•••
left Apr 21, 2022, registered Apr 26, 2022 (5 days) · Wirehouse to affiliated broker-dealer or bank

Signals

K• H•• M• left C•••••••• G••••• M•••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-07-01)
Jun 18, 2024 · Advisor changed firm · fact
K• H•• M• left C•••••• S••••• • C••• I••• for C•••••••• G••••• M•••••• I••• (registered 2022-10-28)
Oct 18, 2022 · Advisor changed firm · fact
K• H•• M• left W•••• F•••• A••••••• for C•••••• S••••• • C••• I••• (registered 2022-04-26)
Apr 21, 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: Wirehousederived
Years in industry: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address