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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

A•• H•••••••• L••

CRD 164536

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Search this name across graphsid dfx:ria:12964a05-7bf3-b940-2dfd-35d5bbe73fda

Data as of Apr 14, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Jun 6, 2012 to Apr 14, 2015
25 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2015-04-14); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Accounts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• A••••••• K•••••	CHIEF COMPLIANCE OFFICER AND SOLE PROPRIETOR	E	yes	06/2012	Aug 3, 2012	Apr 14, 2015

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$0	$195M	-100.0%	n/a	n/a	2	3	n/a	n/a

Relationships

Controls (1)

← F••••• A••••••• K•••••OwnerCHIEF COMPLIANCE OFFICER AND SOLE PROPRIETOR, ownership code E, individual
Aug 3, 2012 to presentfactForm ADV

Registered with (3)

← A•••••• F••••Advisorregistration: previous registration
Nov 4, 2013 to Nov 14, 2019factForm ADV
← RYAN BRADLEY WILLIAMSAdvisorregistration: previous registration
Sep 30, 2013 to Mar 26, 2016factForm ADV
←

Dated events

Occurred
Jul 15, 2014
Succession filed (Item 4)
The 401 (K) Concierge reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago
Occurred
Jun 6, 2012
First Form ADV filing
The 401 (K) Concierge filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12964a05-7bf3-b940-2dfd-35d5bbe73fda
First observed: Jun 6, 2012
Last observed: Apr 14, 2015 139 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.