DFX Intelligence

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

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

K•••••• F•••••••• P•••••••

CRD 175113

GRASS VALLEY, CA

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Search this name across graphsid dfx:ria:7a79192a-7c13-5b28-96e9-e3af6c2cbf7d

Data as of Sep 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Sep 3, 2026 to Sep 3, 2026
1 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: $111M••• Locked
Discretionary RAUM: $111M
Private client RAUM: $111Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $55.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
O•••• K••••••	Certified Financial Planner	GRASS VALLEY, CA	10	22	2	no
M•••••• O••••••••	Certified Financial Planner	GRASS VALLEY, CA	4	10	n/a

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

Relationships

Registered with (2)

← M•••••• O••••••••Advisorregistration: current employment
Jan 3, 2022 to presentfactForm ADV
← O•••• K••••••Advisorregistration: previous registration
Apr 28, 2015 to Dec 31, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a79192a-7c13-5b28-96e9-e3af6c2cbf7d
First observed: Sep 3, 2026
Last observed: Sep 3, 2026 19 days 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.