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Mitchell Kauffman

Raymond James Financial Services Advisors, INC
44 Years of Experience
Montecito, CA
1 DisclosureBroker
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Mitchell Kauffman is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Montecito, CA, with 44 years of industry experience. Mitchell is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Montecito, CA

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2016
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mitchell is the treasurer of a non-profit homeowners association, adjunct faculty teaching economics courses at UC Santa Barbara (dedicating a few hours per week), and trustee for Kauffman Wealth Management's 401k plan. He also acts as a landlord for commercial rental property and owns a bookkeeping entity, spending minimal time on these investment-related activities, and his spouse owns a clinical psychology practice.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
May 2026 - Present · 5 mos
Raymond James Financial Services, INC.Broker
May 2026 - Present · 5 mos
Previous Registrations
Stifel Independent Advisors, LLCBroker
April 2022 - May 2026 · 4 yrs 1 mo
Stifel Independent Advisors, LLC
April 2022 - May 2026 · 4 yrs 1 mo
Wells Fargo Advisors Financial Network, LLCBroker
January 2016 - April 2022 · 6 yrs 3 mos
Wells Fargo Advisors Financial Network, LLC
January 2016 - April 2022 · 6 yrs 3 mos
Kauffman Wealth Management
January 2014 - September 2016 · 2 yrs 8 mos
Raymond James Financial Services Advisors, INC
January 2009 - January 2016 · 7 yrs
Kauffman Wealth Services, INC.
June 2008 - December 2013 · 5 yrs 6 mos
Raymond James Financial Services
May 2005 - January 2009 · 3 yrs 8 mos
Raymond James Financial Services
July 1997 - December 2003 · 6 yrs 5 mos
Raymond James Financial Services, INC.Broker
December 1988 - January 2016 · 27 yrs 1 mo
American Pacific Securities CorporationBroker
February 1985 - December 1988 · 3 yrs 10 mos
Equitec Securities CompanyBroker
September 1982 - February 1986 · 3 yrs 5 mos
State Registrations36 states
AKALAZCACOCTDCFLGAHIIDILINKYLAMDMIMNMOMTNCNENHNJNMNVNYORPATNTXUTVAWAWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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