DFX Intelligence

K•• P••••••••• A••••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

K•• P••••••••• A••••••• G••••• L••

CRD 133319

NEW YORK, NY

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Search this name across graphsid dfx:ria:75827dbf-70a4-d20d-def4-74e61953f57a

Data as of Jun 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 5
On other graphs: 0
Observed: Mar 28, 2012 to Jun 21, 2019
22 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: $5.8B••• Locked
Discretionary RAUM: $5.3B
Private client RAUM: $5.8Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 55

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• P•••••• F•••••••• H•••••••• I•••	MANAGING MEMBER	E	yes	12/2004	Mar 28, 2012	Jun 21, 2019
C••••• S•••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2017	Mar 7, 2017	Jun 21, 2019

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$5.8B	$6.2B	-5.7%	$5.5B	2.0%	55	45	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•• W•••••	4	Sep 18, 2019	Sep 24, 2019	NEW YORK, NY	Firm absorbed	RIA to RIA	80.0%

Relationships

Controls (6)

← D••••••••• A••••••OwnerBOARD MEMBER, ownership code NA, individual
Jan 3, 2019 to presentfactForm ADV
← L•••••••• A•••••• N•••OwnerBOARD MEMBER/CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← C••••• S•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 7, 2017 to presentfactForm ADV
← G••••• S•••••• M••••••OwnerBOARD MEMBER, ownership code NA, individual
Jan 3, 2019 to presentfact

Dated events

Occurred
Jan 3, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 3, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 3, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 3, 2019
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:75827dbf-70a4-d20d-def4-74e61953f57a
First observed: Mar 28, 2012
Last observed: Jun 21, 2019 88 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.