DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

K•• S•••• • A••••••••• I••

CRD 110092

SAN DIEGO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Jul 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 1
Observed: Dec 8, 2011 to Jul 30, 2018
15 observations

Across DFX

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

Allocatorsidentity

K•• S•••• • A••••••••• I••

Investment consultant · key_crd, 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: $408M••• Locked
Discretionary RAUM: $358M
Private client RAUM: $371Mderived••• Locked
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• H•••••••• I•••	Stockholder	E	yes	02/2001	Dec 8, 2011	Jul 30, 2018
H••••••••• B••••• S••••	CHIEF OPERATING OFFICER, CCO (AS OF 2/2016)	Na	yes	06/2007	Mar 31, 2015	Jul 30, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• S••••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
A•••• P••••••• S••••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$408M	$368M	11.0%	$301M	10.7%	9	10	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L••• A•••••••	2	Jan 30, 2019	Mar 28, 2014	SAN DIEGO, CA	Team lift out	Other	66.7%

Relationships

Controls (5)

← S••••• K••••••• A••••OwnerSTOCKHOLDER, ownership code E, individual
Dec 8, 2011 to presentfactForm ADV
← H••••••• E•••• G•••••••OwnerCHIEF FINANCIAL OFFICER, SECRETARY, ownership code NA, individual
Dec 8, 2011 to presentfactForm ADV
← R••••••••• A••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2018 to presentfactForm ADV
← H••••••••• B••••• S••••OwnerCHIEF OPERATING OFFICER, CCO (AS OF 2/2016), ownership code NA, individual
Mar 31, 2015 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 8, 2011
Last observed: Jul 30, 2018 99 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.