DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

L••••••••• L••

CRD 317159

LOS ANGELES, CA

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:bb5301b1-9224-1b64-7da6-7b4883791312

Data as of Mar 31, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Nov 2, 2021 to Mar 31, 2022
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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• K••••••• K••••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	11/2021	Nov 2, 2021	Mar 31, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Feb 22, 2022	n/a	n/a	1	1	0	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$0	n/a	n/a	n/a	n/a	1	n/a	0	n/a

Relationships

Controls (1)

← S••••• K••••••• K••••••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 2, 2021 to presentfactForm ADV

Registered with (1)

← K•••••• S••••Advisorregistration: previous registration
Dec 1, 2021 to May 5, 2023factForm ADV

Dated events

Occurred
May 5, 2023
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 2, 2021
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bb5301b1-9224-1b64-7da6-7b4883791312
First observed: Nov 2, 2021
Last observed: Mar 31, 2022 54 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.