DFX Intelligence

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

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

F•••••••• A••••••• O• A••••••• L••

CRD 142170

CARLSBAD, CA

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Search this name across graphsid dfx:ria:5ece0977-62af-1bee-f283-7741e2ee7c11

Data as of May 13, 2013 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 64
Dated events: 0
On other graphs: 0
Observed: Jan 5, 2012 to May 13, 2013
15 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: $164M••• Locked
Discretionary RAUM: $54.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 50
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•••••••• K•••••• M•••• J•	MANAGING DIRECTOR, PRINCIPAL & CCO	B	yes	05/2013	Jan 5, 2012	May 13, 2013
A••••• R•••••••• C••••••	Member	Na	no	06/2009	Jan 5, 2012	May 13, 2013

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Phoenix	Az	United States	n/a	no
Bakersfield	CA	United States	n/a	no
Escondido	CA	United States	n/a	no
Fallbrook	CA	United States	n/a	no
LAGUNA NIGUEL	CA	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Feb 28, 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	$164M	$140M	17.0%	n/a	n/a	50	n/a	n/a	n/a

Relationships

Owns (19)

← P••••• E••••• M•••••OwnerMEMBER, ownership code NA, individual
Jan 5, 2012 to presentfactForm ADV
← D•••••• N•••••••• I••••OwnerFINOP, ownership code NA, individual
Jan 5, 2012 to presentfactForm ADV
← B••••• A•••••• F••••••OwnerMEMBER, ownership code A, individual
Jan 5, 2012 to presentfactForm ADV
← H•••••• M•••••• L••••OwnerMEMBER, ownership code NA, individual
Jan 5, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ece0977-62af-1bee-f283-7741e2ee7c11
First observed: Jan 5, 2012
Last observed: May 13, 2013 162 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.