DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

W••••••••• L••

CRD 140004

REDWOOD CITY, CA

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Search this name across graphsid dfx:ria:366d2267-e3f5-ffe1-389b-f6f450ad079f

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
27 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $467M••• Locked
Discretionary RAUM: $467M
Private client RAUM: $467Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $233Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• R•• G•••••••••	Certified Financial Planner\|Personal Financial Specialist	REDWOOD CITY, CA	20	26	2	no
S••••• L•••• G•••••••••	n/a	REDWOOD CITY, CA \| HOUSTON, TX	3	17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• K••••• R••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	03/2006	Mar 30, 2012	May 28, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	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	$467M	$411M	13.6%	$337M	11.4%	5	5	0	0

Relationships

Registered with (5)

← S••••• L•••• G•••••••••Advisorregistration: current employment
Sep 11, 2023 to presentfactForm ADV
← K•••• R•• G•••••••••Advisorregistration: current employment
Apr 20, 2006 to presentfactForm ADV
← R••• T••• O••••••Advisorregistration: previous registration
Oct 15, 2015 to Aug 8, 2018factForm ADV
← K••••• E••••• S•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:366d2267-e3f5-ffe1-389b-f6f450ad079f
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 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.