DFX Intelligence

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

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

K••••••• W••••• A•••••••

K••••••• W••••• A•••••••, LLC, CRD 158234

LOGAN, UT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9a54a14e-d57b-7298-3e64-f783e43dbe66

Data as of Sep 3, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Apr 8, 2014 to Sep 3, 2020
27 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: $31.6M••• Locked
Discretionary RAUM: $31.6M
Private client RAUM: $31.6Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N•••••• G•••••• L•••	INVESTMENT ADVISER REPRESENTATIVE	C	yes	08/2011	Apr 8, 2014	Sep 3, 2020
V••••••••• J••••• D••	INVESTMENT ADVISER REPRESENTATIVE	C	yes	08/2011	Apr 8, 2014	Sep 3, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
V••••• I•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	May 7, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$31.6M	$35.9M	-12.1%	$51.4M	-15.0%	3	5	0	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• F•••••••• A•••••••	2	Oct 3, 2022	Oct 11, 2022	LOGAN, UT	Team lift out	RIA to state RIA	100.0%

Relationships

Controls (3)

← V••••••••• J••••• D••OwnerINVESTMENT ADVISER REPRESENTATIVE, ownership code C, individual
Apr 8, 2014 to presentfactForm ADV
← N•••••• G•••••• L•••OwnerINVESTMENT ADVISER REPRESENTATIVE, ownership code C, individual
Apr 8, 2014 to presentfactForm ADV
← V••••••••• T••••• J••OwnerINVESTMENT ADVISER REPRESENTATIVE, CCO (04/2019), ownership code C, individual
Apr 8, 2014 to presentfactForm ADV

Moved with (1)

→ C•••••• F•••••••• A•••••••

Dated events

Occurred
Oct 3, 2022
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Oct 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 3, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 8, 2014
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9a54a14e-d57b-7298-3e64-f783e43dbe66
First observed: Apr 8, 2014
Last observed: Sep 3, 2020 73 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.