Mitchell Kauffman
Mitchell Kauffman is a registered investment advisor at Stifel Independent Advisors, LLC, based in Pasadena, CA, with 43 years of industry experience. Their practice areas include Investment Management. Their firm serves 7,902 clients with $5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Stifel Independent Advisors offers investment management through various programs. Fees are generally based on a percentage of assets, but can be a fixed dollar amount. The Stifel Vantage Program charges transaction-based commissions. The Stifel Summit Program charges up to 1.00% of the total value of investments under management. Fees are negotiable.
Location
975 S. Fair Oaks Avenue, Pasadena, CA, 91105
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Regulatory History (1)
Customer Dispute
January 2016Other 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
Stifel Independent Advisors, LLC
Stifel Independent Advisors, LLCBroker
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
Wells Fargo Advisors Financial Network, LLCBroker
Kauffman Wealth Management
Raymond James Financial Services Advisors, INC
Kauffman Wealth Services, INC.
Raymond James Financial Services
Raymond James Financial Services
Raymond James Financial Services, INC.Broker
American Pacific Securities CorporationBroker
Equitec Securities CompanyBroker
State Registrations36 states
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.