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K••••• I••••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

K••••• I••••••••• S•••••••• I•••

CRD 135704

VALENCIA, CA

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Search this name across graphsid dfx:ria:4b1c6eaa-8eba-1af9-e4b3-6785871c4116

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 1
Observed: Mar 13, 2012 to Mar 31, 2022
16 observations

Across DFX

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

Allocatorsidentity

K••••• I••••••••• S•••••••• I•••

Investment consultant · shared crd

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: $77.5MItem 5.F on the latest filing (2022-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $66.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
K••••••• D•••••	CHAIRMAN, SHAREHOLDER	D	yes	05/2005	Mar 13, 2012	Mar 31, 2022
S••••••• S•••••• S•••••	PRESIDENT, SHAREHOLDER	C	yes	05/2005	Mar 13, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••••••• I••••••••• A••••••• L••	n/a	Former SEC adviser	$117M	N	no	n/a

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

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
2021	$77.5M	$121M	-36.2%	$87.6M	-4.0%	5	5	0	0

Relationships

Affiliated with (2)

→ P••••••••• I••••••••• A••••••• L••Registered adviserother investment adviser
factForm ADV
← P••••••••• I••••••••• A••••••• L••Registered adviserother investment adviser, control
factForm ADV

Controls (2)

← S••••••• S•••••• S•••••OwnerPRESIDENT, SHAREHOLDER, ownership code C, individual
Mar 13, 2012 to presentfactForm ADV
← K••••••• D•••••OwnerCHAIRMAN, SHAREHOLDER, ownership code D, individual

Dated events

Occurred
Apr 1, 2019
Regulatory AUM changed
K••••• I••••••••• S•••••••• I••• reported RAUM $87.6M, down 87% from $686.1M (2018-03-29 to 2019-04-01)
Form ADVobserved 7 days ago
$-599M
Occurred
Mar 29, 2018
Regulatory AUM changed
K••••• I••••••••• S•••••••• I••• reported RAUM $686.1M, up 123% from $307.7M (2017-07-27 to 2018-03-29)
Form ADVobserved 7 days ago
$378M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b1c6eaa-8eba-1af9-e4b3-6785871c4116
First observed: Mar 13, 2012
Last observed: Mar 31, 2022 54 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.