DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

F•••••• D•• S••••••••• L••

CRD 138962

HOUSTON, TX

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Data as of Jun 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 7
On other graphs: 0
Observed: Dec 20, 2011 to Jun 1, 2026
42 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: $615M••• Locked
Discretionary RAUM: $530M
Private client RAUM: $615Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $123Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• B••••• C•••••••	n/a	Greenville, SC	20	36	2	no
R••• J•••• K••••••	n/a	HOUSTON, TX	20	29

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
K•• C•••••••• P•••••••• L•	Hedge Fund	$5.5M	Jan 23, 2017	12	Mar 6, 2012	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• M••••••• B•••••	MANAGING MEMBER	D	yes	03/2006	Dec 20, 2011	Jul 2, 2024
K••••••• R•••• J••••	MANAGING MEMBER	D	yes	03/2006	Dec 20, 2011	Jul 2, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• K•••• S••••••	n/a	n/a	n/a	N	no	n/a
S••••• C•••••• W•••	n/a	n/a	n/a	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Pocatello	Id	United States	1	no
n/a	n/a	n/a	1	no

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
1	0	1	0.0%	0	0	0	2	2

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	$615M	$569M	8.1%	$365M	19.0%	8	6	3	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B•••••• C••••••	2	Sep 22, 2025	Sep 2, 2025	HOUSTON, TX	Team lift out	RIA to RIA	33.3%

Relationships

Registered with (12)

← C••••••• E•••••••• R•••••••Advisorregistration: current employment
Jun 1, 2026 to presentfactForm ADV
← W•••••• A•••••• K•••Advisorregistration: current employment
Oct 14, 2024 to presentfactForm ADV
← B••••• J•••••• W•••Advisorregistration: current employment
Mar 24, 2021 to presentfactForm ADV
← M•••••• B••••• C•••••••

Dated events

Order

Occurred
1 Jun 2026
Ria office opened
••• Locked
Form ADV
Occurred
22 Sep 2025
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
22 Sep 2025
Advisor changed firm2 events
F•••••• D•• S••••••••• L••: advisor changed firm, 2 counterparties, on 22 Sep 2025
- ••• Locked
- ••• Locked
Occurred
26 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
$146M
Occurred
5 Aug 2022
Advisor changed firm2 events
F•••••• D•• S••••••••• L••: advisor changed firm, 2 counterparties, on 5 Aug 2022
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 20, 2011
Last observed: Jun 1, 2026 3 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 21, 2016	$193M	$182M	7	2	n/a	1	$5.5M
2014	Mar 4, 2015	$219M	$211M	6	4	n/a	1	$7.5M
2013	Feb 7, 2014	$154M	$88.0M	7	3	n/a	1	$8.0M
2012	Feb 12, 2013	$157M	$149M	4	3	n/a	1	$8.0M
2011	Mar 6, 2012	$150M	$100M	n/a	n/a	n/a	1	$8.0M