DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

S•••••• A•••• M••••••••• •••• K•••• L••••••

CRD 286182

H••• K•••

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Search this name across graphsid dfx:ria:b370b860-90fa-afcd-7b8e-e2a7e796c434

Data as of Mar 20, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 16
On other graphs: 0
Observed: Jan 5, 2017 to Mar 20, 2024
15 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: $775M••• Locked
Discretionary RAUM: $775M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••• M••••••• N••	CFO, DIRECTOR	Na	yes	11/2019	Mar 30, 2020	Mar 20, 2024
P•••• S••••••• N••	CEO, MANAGING DIRECTOR	Na	yes	01/2022	Apr 1, 2019	Mar 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• A•••• M••••••••• C••••••• L•••	n/a	Other adviser	$301B	Y	no	n/a
S•••••• A•••• M••••••••• ••• Y••••• I•••	n/a	Asset manager	$8.2B	N	yes	n/a

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	$775M	$925M	-16.2%	$2.0B	-27.4%	19	22	0	0

Relationships

Affiliated with (4)

← S•••••• A•••• M••••••••• C••••••• L•••Registered adviserother investment adviser, control
factForm ADV
← S•••••• A•••• M••••••••• ••• Y••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ S•••••• A•••• M••••••••• ••• Y••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ S•••••• A•••• M••••••••• C••••••• L•••Registered adviser

Dated events

Occurred
May 2, 2025
Left the SEC roster
••• Locked
Form ADVobserved 7 days ago
$775M
Occurred
Mar 18, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
May 11, 2023
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 23, 2023
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b370b860-90fa-afcd-7b8e-e2a7e796c434
First observed: Jan 5, 2017
Last observed: Mar 20, 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.