DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

K•••• P••••• • P•••••• F••••••••• I•••

CRD 112414

IRVINE, CA

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Data as of May 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 5
On other graphs: 0
Observed: Mar 30, 2012 to May 6, 2026
27 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $233M••• Locked
Discretionary RAUM: $233M
Private client RAUM: $232Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $58.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• A••• K••••	n/a	IRVINE, CA	21	23	1	no
J•••• R••••• T••••	n/a	IRVINE, CA	21	21

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••• J•••••• A•••	CEO & SECRETARY/TREASURER	E	yes	11/2012	Mar 30, 2012	Oct 16, 2024
T••••• J••••• R•••••	CHIEF COMPLIANCE OFFICER	Na	yes	04/2019	Jun 30, 2021	Oct 16, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	0	0	0.0%	0	0	0	0	0

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	$233M	$185M	25.9%	$145M	17.2%	5	5	0	0

Relationships

Registered with (4)

← L••• G••••• G•••••••Advisorregistration: current employment
Feb 18, 2023 to presentfactForm ADV
← A••••• T••••• R•••Advisorregistration: current employment
Sep 22, 2020 to presentfactForm ADV
← J•••• R••••• T••••Advisorregistration: current employment
Feb 16, 2005 to presentfactForm ADV
← J••••• A••• K••••

Dated events

Order

Occurred
15 Mar 2023
Control person left
••• Locked
Form ADV
Occurred
30 Jun 2021
Control person joined
••• Locked
Form ADV
Occurred
30 Jun 2021
Control person left2 events
K•••• P••••• • P•••••• F••••••••• I•••: control person left, 2 events, on 30 Jun 2021
- ••• Locked
- ••• Locked
Occurred
30 Jun 2021
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: May 6, 2026 4 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.