DFX Intelligence

V••••• F••••••••• 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

V••••• F••••••••• L••

CRD 149909

ARROYO GRANDE, CA

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Search this name across graphsid dfx:ria:920ccb3b-6333-779f-808e-728144a3ac68

Data as of May 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2012 to May 31, 2017
24 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: $40.7M••• Locked
Discretionary RAUM: $40.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
I••• D••••• A••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2014	Jan 27, 2015	May 31, 2017
S••••• K••••• M•••••	Member	C	yes	05/2012	Aug 17, 2012	May 31, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••••••• P•••••••• L••	n/a	Former SEC adviser	$2.1B	Y	yes	n/a
D••••• J••• R•••	n/a	n/a	n/a	N	no	n/a
W••••••••• I•••••••• S•••••••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
ARROYO GRANDE	CA	United States	n/a	no
SAN LUIS OBISPO	CA	United States	n/a	no
SANTA MARIA	CA	United States	n/a	no
Solvang	CA	United States	n/a	no
WOODLAND HILLS	CA	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 29, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$40.7M	$158M	-74.3%	$111M	-28.4%	9	14	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••••••••	2	Dec 1, 2017	May 19, 2016	MORRO BAY, CA	Team lift out	Other	66.7%

Relationships

Affiliated with (1)

→ W•••••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (4)

← S•••••••• A•••• B••••OwnerMANAGING MEMBER, ownership code C, individual
Mar 14, 2012 to presentfactForm ADV
← S••••••• K••••• C••••••OwnerMEMBER, ownership code C, individual
Aug 17, 2012 to presentfactForm ADV
← S••••• K••••• M•••••OwnerMEMBER, ownership code C, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:920ccb3b-6333-779f-808e-728144a3ac68
First observed: Mar 14, 2012
Last observed: May 31, 2017 113 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.