DFX Intelligence

F•••••••• F•••••••• P••••••• • W••••• M••••••••• 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•••••••• F•••••••• P••••••• • W••••• M••••••••• L••

CRD 147270

PHOENIX, AZ

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Search this name across graphsid dfx:ria:691119ea-823e-84f6-dcc9-8d951d989c46

Data as of May 11, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 4
On other graphs: 0
Observed: Sep 23, 2021 to May 11, 2023
8 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: $128M••• Locked
Discretionary RAUM: $128M
Private client RAUM: $128Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O••••••• K••••• P• •• O••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	02/2008	Sep 23, 2021	May 11, 2023

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 15, 2023

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	$128M	$125M	2.5%	n/a	n/a	1	3	0	0

Relationships

Controls (1)

← O••••••• K••••• P• •• O••••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Sep 23, 2021 to presentfactForm ADV

Registered with (3)

← K•••• P• •• O•••• O••••••Advisorregistration: previous registration
Nov 24, 2008 to Oct 23, 2023factForm ADV
← J•••• L••• G•••••••Advisorregistration: previous registration
Nov 9, 2016 to May 11, 2023factForm ADV
←

Dated events

Occurred
Oct 23, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 11, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 27, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 23, 2021
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:691119ea-823e-84f6-dcc9-8d951d989c46
First observed: Sep 23, 2021
Last observed: May 11, 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.