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A•• F•••••••• S•••••••• L••: 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•• F•••••••• S•••••••• L••

CRD 118257

BETHESDA, MD

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:c33a26d1-1c5e-4aee-59c9-a7d333110011

Data as of Mar 1, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2012 to Mar 1, 2017
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: $134MItem 5.F on the latest filing (2017-03-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $109M
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: 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
K••••• A•••••• R•••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	E	yes	10/2001	Mar 19, 2012	Mar 1, 2017

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
2016	$134M	$129M	4.4%	$123M	3.1%	2	2	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••••••• S•••••••• W•••••• L••	2	Feb 28, 2018	Mar 1, 2018	BETHESDA, MD	Team lift out	Other	100.0%

Relationships

Controls (1)

← K••••• A•••••• R•••••OwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 19, 2012 to presentfactForm ADV

Moved with (1)

→ B••••••••• S•••••••• W•••••• L••Registered adviser2 advisors, team lift out, same day
Feb 28, 2018 to Mar 1, 2018factForm ADV

Registered with (3)

← A••••• R••••• K••••Advisorregistration: previous registration
Jun 23, 2008 to Feb 28, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c33a26d1-1c5e-4aee-59c9-a7d333110011
First observed: Mar 19, 2012
Last observed: Mar 1, 2017 116 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.