DFX Intelligence

K••••• A•• C•••••• W••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

K••••• A•• C•••••• W••••• A•••••••• L••

CRD 171840

PLEASANTON, CA

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Search this name across graphsid dfx:ria:089cd700-865b-f53e-6cb6-2b7af8ac1fc8

Data as of Mar 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2026 to Mar 14, 2026
1 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $56.9M••• Locked
Discretionary RAUM: $56.9M
Private client RAUM: $54.3Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 2

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K••• D•••••• K•••••	Certified Financial Planner\|Personal Financial Specialist	LOS ALTOS, CA	11	40	1	no
G••• D•••••• K•••••	Personal Financial Specialist	SAN JOSE, CA	11	16

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• W••••• M•••••••••	2	Mar 31, 2015	Sep 23, 2014	LOS ALTOS, CA	Team lift out	Other	2.6%

Relationships

Registered with (2)

← K••• D•••••• K•••••Advisorregistration: current employment
Sep 23, 2014 to presentfactForm ADV
← G••• D•••••• K•••••Advisorregistration: current employment
Sep 23, 2014 to presentfactForm ADV

Moved with (1)

← C•••••• W••••• M•••••••••Registered adviser2 advisors, team lift out, same day
Mar 31, 2015 to Sep 23, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:089cd700-865b-f53e-6cb6-2b7af8ac1fc8
First observed: Mar 14, 2026
Last observed: Mar 14, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.