DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

E••••••• W••••• M••••••••• I•••

CRD 105888

ROSEVILLE, CA

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Search this name across graphsid dfx:ria:4f5b8d90-b7c2-81cf-05ff-0d084618c05b

Data as of Apr 28, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 4
On other graphs: 0
Observed: Mar 14, 2012 to Apr 28, 2023
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: $238M••• Locked
Discretionary RAUM: $238M
Private client RAUM: $238Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• K•••••••• L•••••	PRESIDENT, CEO, CCO	Na	yes	09/1999	Mar 14, 2012	Apr 28, 2023
M••••• G••••• A••••••• I•••	PARENT COMPANY	E	yes	12/2022	Jan 9, 2023	Apr 28, 2023

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$238M	$246M	-3.3%	$204M	5.3%	2	3	0	0

Relationships

Controls (2)

← F•••• K•••••••• L•••••OwnerPRESIDENT, CEO, CCO, ownership code NA, individual
Mar 14, 2012 to presentfactForm ADV
← M••••• G••••• A••••••• I•••OwnerPARENT COMPANY, ownership code E, domestic entity
Jan 9, 2023 to presentfactForm ADV

Registered with (1)

← K••••••• L••••• F•••Advisorregistration: previous registration
Oct 14, 1990 to Dec 31, 2022factForm ADV

Dated events

Occurred
Jan 9, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 20, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 20, 2021
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4f5b8d90-b7c2-81cf-05ff-0d084618c05b
First observed: Mar 14, 2012
Last observed: Apr 28, 2023 41 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.