DFX Intelligence

C•••••• P••••••• C•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

C•••••• P••••••• C•••

CRD 105013

BELLEVUE, WA

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Search this name across graphsid dfx:ria:5a81a2e3-1935-c5c6-90c2-1b89c22a59d8

Data as of Oct 31, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Oct 31, 2013
7 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: $305M••• Locked
Discretionary RAUM: $281M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• J••••• E•••	PRESIDENT, CHIEF OPERATING OFFICER	Na	yes	05/2005	Mar 28, 2012	Oct 31, 2013
M•••••• M••••••• D••••••	CHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER	E	yes	10/2004	Mar 28, 2012	Oct 31, 2013

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 25, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$305M	$254M	20.1%	n/a	n/a	10	n/a	n/a	n/a

Relationships

Controls (2)

← K•••••• J••••• E•••OwnerPRESIDENT, CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← M•••••• M••••••• D••••••OwnerCHAIRMAN, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Registered with (9)

← J•••• E••• K•••••Advisorregistration: previous registration
Oct 16, 1992 to Jan 27, 2014factForm ADV
← D•••• L••••• D•••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5a81a2e3-1935-c5c6-90c2-1b89c22a59d8
First observed: Mar 28, 2012
Last observed: Oct 31, 2013 157 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.