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

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

N•••• S••••••••• W••••• A•••••••• L••

CRD 284449

S•••••••••, AZ

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Search this name across graphsid dfx:ria:bec6c9ee-ce42-a7f0-14f0-982cc1138be1

Data as of Nov 17, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Aug 15, 2016 to Nov 17, 2016
5 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: $46.4MItem 5.F on the latest filing (2016-11-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $46.4M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• A••• K•••	n/a	S•••••••••, AZ	9	31	4	no

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
K•••• D••••• A•••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	08/2016	Aug 15, 2016	Nov 17, 2016

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Relationships

Controls (1)

← K•••• D••••• A•••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Aug 15, 2016 to presentfactForm ADV

Registered with (1)

← D•••• A••• K•••Advisorregistration: current employment
Sep 28, 2016 to presentfactForm ADV

Dated events

Occurred
Aug 15, 2016
First Form ADV filing
N•••• S••••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bec6c9ee-ce42-a7f0-14f0-982cc1138be1
First observed: Aug 15, 2016
Last observed: Nov 17, 2016 119 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.