DFX Intelligence

F•••••••• C•••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM under $100M

F•••••••• C•••••• M••••••••• I•••

CRD 150647

SAN JOSE, CA

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Data as of Jul 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 10:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 2
Observed: Jan 25, 2012 to Jul 31, 2026
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

F•••••••• C•••••• M••••••••• I•••

Venture manager · same SEC CIK, same CRD, same SEC file number

Private Creditidentity

F•••••••• C•••••• M••••••••• I•••

Private credit manager · same SEC CIK, same CRD, same SEC file number

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderived••• Locked
Regulatory AUM: $58.6M••• Locked
Discretionary RAUM: $58.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S••••• V•••••• P•••••••• L•••	Venture Capital Fund	$50,000	Feb 7, 2012	1	Jan 25, 2012	dropped	021-138229

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• O•••• N•••••••	CHIEF OPERATING OFFICER	Na	yes	02/2010	Jan 25, 2012	Mar 29, 2024
L•••••• K••••• M••••••	PRESIDENT/DIRECTOR/CEO/PORTFOLIO MANAGER	E	yes	05/2009	Jan 25, 2012	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••••••• V•••••• A••••••••• L••	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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$58.6M	$51.1M	14.6%	$128M	-22.9%	5	5	0	0

Relationships

Controls (3)

← L•••••• K••••• M••••••OwnerPRESIDENT/DIRECTOR/CEO/PORTFOLIO MANAGER, ownership code E, individual
Jan 25, 2012 to Mar 29, 2024factForm ADV
← L••••• K•••••• K•••••OwnerMANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 25, 2012 to Mar 29, 2024factForm ADV
← B••••••••• O•••• N•••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jan 25, 2012 to Mar 29, 2024factForm ADV

Advises (1)

→ S••••• V•••••• P•••••••• L•••

Dated events

Order

Occurred
30 Mar 2023
Regulatory AUM changed
••• Locked
Form ADV
down $262M
Occurred
30 Mar 2021
Regulatory AUM changed
••• Locked
Form ADV
$101M

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 25, 2012
Last observed: Jul 31, 2026 55 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016	$288M	$288M	12	3	n/a	n/a	n/a
2014	Mar 18, 2015	$328M	$328M	13	3	n/a	n/a	n/a
2013	Mar 31, 2014	$369M	$369M	10	2	n/a	n/a	n/a
2012	Mar 25, 2013	$293M	$293M	12	4	n/a	n/a	n/a
2011	Jan 25, 2012	$197M	$197M	n/a	n/a	n/a	1	$50,000