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••• C••••

J••• M••••• S••••••••• L••wirehouseSeattle, Wadual registrantIAPD 7035542

Feed of 09/14/2026

Also filed as K••• C••••

At current firm

1 y

since Sep 11, 2025

In the industry

10 y

since May 1, 2016 (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

J••• M••••• S••••••••• L•• wirehouse current
since Sep 11, 2025 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 8, 2024 to Sep 2, 2025 · Bellevue, Wa
J••• M••••• S••••••••• L•• wirehouse
Jan 6, 2023 to Oct 26, 2024 · Seattle, Wa
O••••••••• • C•• I••• BD affiliated
Jun 30, 2020 to Dec 16, 2022 · Seattle, Wa
U••• B•••••• I••••••••• I••• former
May 15, 2020 to Jun 29, 2020 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••
left Sep 2, 2025, registered Sep 11, 2025 (9 days) · Wirehouse to wirehouse
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 26, 2024, registered Nov 8, 2024 (13 days) · Wirehouse to wirehouse
O••••••••• • C•• I••• to J••• M••••• S••••••••• L••
left Dec 16, 2022, registered Jan 6, 2023 (21 days) · Affiliated broker-dealer or bank to wirehouse
U••• B•••••• I••••••••• I••• to O••••••••• • C•• I•••
left Jun 29, 2020, registered Jun 30, 2020 (1 days) · Affiliated broker-dealer or bank to another

Signals

K••• C•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2025-09-11)
Sep 2, 2025 · Advisor changed firm · fact
K••• C•••• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-11-08)
Oct 26, 2024 · Advisor changed firm · fact
K••• C•••• left O••••••••• • C•• I••• for J••• M••••• S••••••••• L•• (registered 2023-01-06)
Dec 16, 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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address