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A•••••••• I••••••••• M•••••••• 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

A•••••••• I••••••••• M•••••••• I•••

CRD 132536

STOCKTON, CA

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Search this name across graphsid dfx:ria:b3bf3546-7937-35c4-8781-3100575603f8

Data as of Jun 10, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Feb 24, 2012 to Jun 10, 2021
9 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: $140MItem 5.F on the latest filing (2021-06-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $127M
Private client RAUM: $137MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• A•••••• K••••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	06/2021	Feb 24, 2012	Jun 10, 2021

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$140M	n/a	n/a	n/a	n/a	3	n/a	0	n/a

Relationships

Controls (1)

← S••••• A•••••• K••••••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 24, 2012 to presentfactForm ADV

Registered with (1)

← A••••• K•••••• S••••Advisorregistration: previous registration
May 25, 2007 to Aug 2, 2021factForm ADV

Dated events

Occurred
Jun 10, 2021
Control person left
Lee Michael Dalton (President) no longer on Schedule A of A•••••••• I••••••••• M•••••••• I••• (listed 2021-05-10, absent 2021-06-10)
Form ADVobserved 7 days ago
Occurred
Apr 8, 2020
First Form ADV filing
A•••••••• I••••••••• M•••••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3bf3546-7937-35c4-8781-3100575603f8
First observed: Feb 24, 2012
Last observed: Jun 10, 2021 64 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.