DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

E•••••• A•••• M••••••••• L••

CRD 135188

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Search this name across graphsid dfx:ria:684cafea-1905-3eda-00c4-750b5bd5260c

Data as of Feb 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 7
On other graphs: 0
Observed: Feb 24, 2012 to Feb 17, 2026
54 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: $5.9B••• Locked
Discretionary RAUM: $5.9B
Private client RAUM: $5.9Bderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• K•••••••• L•••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2023	Oct 20, 2023	Dec 3, 2024
E••••••• S•••••• E•••••	MANAGING MEMBER	E	yes	04/2005	Feb 24, 2012	Dec 3, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Monterey	CA	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	4	-4	n/a	0	0	0	0	4

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$5.9B	$5.1B	14.9%	$4.4B	10.6%	6	7	3	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••	4	Apr 23, 2026	Apr 28, 2026	CARMEL, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Moved with (1)

→ E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••Registered adviser4 advisors, firm absorbed, same day
Apr 23, 2026 to Apr 28, 2026factForm ADV

Registered with (4)

← D•••• B••• S•••••••Advisorregistration: previous registration
Apr 27, 2006 to Apr 23, 2026factForm ADV
← L•••• J••• K••••Advisorregistration: previous registration
Apr 9, 2007 to Apr 23, 2026factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 23, 2026
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
4 advisors
Occurred
Apr 23, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 23, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:684cafea-1905-3eda-00c4-750b5bd5260c
First observed: Feb 24, 2012
Last observed: Feb 17, 2026 7 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.