DFX Intelligence

O••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

O••• A•••••••• I•••

CRD 132996

CUPERTINO, CA

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Search this name across graphsid dfx:ria:965ddf54-38d0-672d-f2e4-dd8ead95c785

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 31, 2017
7 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: $335M••• Locked
Discretionary RAUM: $335M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 500
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• M•••• T•••••••	CHIEF INVESTMENT OFFICER	B	yes	03/2005	Mar 28, 2012	Mar 31, 2017
K•••• A•••• B••••	VICE PRESIDENT BUSINESS DEVELOPMENT	Na	yes	04/2012	Mar 26, 2014	Mar 31, 2017

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Campbell	CA	United States	n/a	no
Cupertino	CA	United States	n/a	no
Larkspur	CA	United States	n/a	no
Livermore	CA	United States	n/a	no
LOS ALTOS	CA	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 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	$335M	$299M	12.2%	$266M	7.9%	500	500	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O••• W••••• M••••••••• L••	6	Jun 8, 2017	Feb 1, 2023	CUPERTINO, CA	Firm absorbed	Other	66.7%

Relationships

Controls (4)

← D•••••• M•••• T•••••••OwnerCHIEF INVESTMENT OFFICER, ownership code B, individual
Mar 28, 2012 to presentfactForm ADV
← K•••• A•••• B••••OwnerVICE PRESIDENT BUSINESS DEVELOPMENT, ownership code NA, individual
Mar 26, 2014 to presentfactForm ADV
← M••••• S••••• K••OwnerPRESIDENT, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← L••• J•••••••• J••••••OwnerCHAIRMAN, ownership code C, individual
Mar 28, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:965ddf54-38d0-672d-f2e4-dd8ead95c785
First observed: Mar 28, 2012
Last observed: Mar 31, 2017 115 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.