DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

T•• K••••• G••••• L••

CRD 168329

PASADENA, CA

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Search this name across graphsid dfx:ria:9143a731-7f2c-4aa7-b5df-c9b79bcc5c35

Data as of Mar 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Jul 10, 2013 to Mar 27, 2024
18 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: $92.7M••• Locked
Discretionary RAUM: $92.7M
Private client RAUM: $92.2Mderived••• Locked
Private client share: 99%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
K•••••• P•••• W••••••	THE ESTATE OF P••• W. K•••••, MEMBER	E	yes	08/2013	Aug 30, 2013	Mar 27, 2024
N••••••••• J•••••• J••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	B	yes	08/2013	Aug 30, 2013	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2023	$92.7M	$116M	-20.4%	$125M	-9.4%	1	1	0	0

Relationships

Controls (2)

← N••••••••• J•••••• J••••OwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code B, individual
Aug 30, 2013 to presentfactForm ADV
← K•••••• P•••• W••••••OwnerTHE ESTATE OF P••• W. K•••••, MEMBER, ownership code E, individual
Aug 30, 2013 to presentfactForm ADV

Registered with (1)

← J••••• J•••• N••••••••Advisorregistration: previous registration
Aug 30, 2013 to Dec 19, 2024factForm ADV

Dated events

Occurred
Dec 19, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Jul 10, 2013
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9143a731-7f2c-4aa7-b5df-c9b79bcc5c35
First observed: Jul 10, 2013
Last observed: Mar 27, 2024 30 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.