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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

F•••••••• C•••••• M••••••••• I•••

CRD 107650

RANCHO SANTA FE, CA

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Search this name across graphsid dfx:ria:c28d7550-d266-233d-6e94-531bb1eed805

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 4
On other graphs: 1
Observed: Feb 23, 2012 to Mar 30, 2026
23 observations

Across DFX

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

Real Estate Fundsidentity

F•••••••• C•••••• M••••••••• I•••

Real estate fund manager · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $211MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $206M
Private client RAUM: $202MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
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
S••••• L•• R•	Chartered Financial Analyst	Gardnerville, NV	0	46	n/a	no
C•••• H••• C••	Chartered Financial Analyst	RANCHO SANTA FE, CA	0	16

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
K• C••••• C••••• L••	Real Estate Fund	$40.3M	Mar 25, 2024	29	Jan 10, 2017	reported	n/a
K•••• L••	Real Estate Fund	$20.7M

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
R•• A••••••• M••••••	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, CHIEF OPERATING OFFICER	Na	yes	12/2015	Dec 18, 2015	Mar 25, 2024
R•• S•••••• L••	CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, CHIEF LEGAL OFFICER, CHIEF INVESTMENT OFFICER	E	yes	12/1995

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

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	2	-2	66.7%	0	0	0	0	2

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
2025	$211M	$370M	-43.1%	$224M	-2.0%	5	7	0	0

Relationships

Registered with (5)

← R•••••• B•••••••Advisorregistration: previous registration
Oct 16, 2018 to Dec 31, 2025factForm ADV
← C•••• H••• C••Advisorregistration: current employment
Nov 27, 2025 to presentfactForm ADV
← S••••• L•• R•Advisorregistration: current employment
Nov 13, 2025 to presentfactForm ADV
← John Richard Shepherd

Dated events

Occurred
Apr 15, 2026
Advisor changed firm
John Richard Shepherd left F•••••••• C•••••• M••••••••• I••• for Bluedoor Private Wealth, Llc (registered 2026-04-16)
Form ADVobserved 7 days ago
Occurred
Apr 6, 2026
Advisor changed firm
John Thomas Harrington left F•••••••• C•••••• M••••••••• I••• for Ducere Wealth Management (registered 2026-04-01)
Form ADVobserved 7 days ago
Occurred
Mar 30, 2026
Regulatory AUM changed
F•••••••• C•••••• M••••••••• I••• reported RAUM $210.6M, down 43% from $369.9M (2025-03-31 to 2026-03-30)
Form ADVobserved 7 days ago
$-159M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c28d7550-d266-233d-6e94-531bb1eed805
First observed: Feb 23, 2012
Last observed: Mar 30, 2026 5 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.

2025	Mar 30, 2026	$211M	$206M	5	3	0	n/a	n/a
2024	Mar 31, 2025	$370M	$366M	7	2	0	5	n/a
2023	Mar 25, 2024	$342M	$339M	8	6	0	5	$93.9M
2022	Mar 25, 2023	$224M	$221M	6	5	0	5	$41.1M
2021	Mar 28, 2022	$212M	$210M	6	5	0	6	$45.0M
2020	Mar 31, 2021	$183M	$183M	6	5	0	6	$41.7M
2019	Mar 30, 2020	$186M	$186M	7	4	0	6	$43.4M
2018	Mar 29, 2019	$172M	$172M	6	3	0	6	$46.8M
2017	Mar 29, 2018	$170M	$170M	5	3	0	6	$46.8M
2016	Mar 28, 2017	$158M	$158M	8	5	n/a	6	$43.7M
2015	Mar 15, 2016	$125M	$115M	8	5	n/a	n/a	n/a
2014	Mar 26, 2015	$164M	$164M	3	2	n/a	n/a	n/a
2013	Mar 18, 2014	$167M	$167M	3	2	n/a	n/a	n/a
2012	Mar 12, 2013	$144M	$144M	3	2	n/a	n/a	n/a
2011	Feb 23, 2012	$137M	$137M	n/a	n/a	n/a	n/a	n/a