DFX Intelligence

B••••••••• W••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

B••••••••• W••••• P•••••••• L••

CRD 160563

CAMARILLO, CA

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Search this name across graphsid dfx:ria:1ae5858f-098b-7cc0-3975-490e865de6f6

Data as of Aug 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 1
Observed: Oct 21, 2021 to Aug 17, 2026
11 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

B••••••••• W••••• P•••••••• L••

Intermediary · key crd, shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $206M••• Locked
Discretionary RAUM: $206M
Private client RAUM: $201Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $206Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••• P••• K••••	Certified Financial Planner	CAMARILLO, CA	0	30	2	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••• P••••• P•••	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	E	yes	12/2011	Oct 21, 2021	Sep 10, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
WESTLAKE VILLAGE	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$206M	$187M	10.2%	$130M	16.7%	5	4	0	0

Relationships

Registered with (2)

← P•••• P••• K••••Advisorregistration: current employment
Dec 24, 2025 to presentfactForm ADV
← J••••••• M••••• J••••• B••••••Advisorregistration: previous registration
Apr 18, 2012 to Oct 1, 2018factForm ADV

Controls (1)

← K••••• P••••• P•••OwnerMANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Oct 21, 2021 to Sep 10, 2024factForm ADV

Dated events

Occurred
Aug 17, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Oct 21, 2021
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ae5858f-098b-7cc0-3975-490e865de6f6
First observed: Oct 21, 2021
Last observed: Aug 17, 2026 37 days 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.