DFX Intelligence

K•• I••••••••• T•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

K•• I••••••••• T•••

CRD 120011

ENCINO, CA

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Search this name across graphsid dfx:ria:c40d99fc-f91e-3448-94ad-b7628be4d6b2

Data as of Jul 31, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Mar 30, 2012 to Jul 31, 2012
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: $43.3M••• Locked
Discretionary RAUM: $40.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 379
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
V••••••• R•••••• B••••	FOUNDER/CHIEF COMPLIANCE OFFICER	E	yes	03/2002	Mar 30, 2012	Jul 31, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•• M••••••••• G••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$43.3M	$40.4M	n/a	n/a	n/a	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
2011	$43.3M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← V••••••• R•••••• B••••OwnerFOUNDER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (1)

← R••••• B•••• V••••••Advisorregistration: previous registration
Mar 25, 2002 to Jul 12, 2023factForm ADV

Dated events

Occurred
Jul 12, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c40d99fc-f91e-3448-94ad-b7628be4d6b2
First observed: Mar 30, 2012
Last observed: Jul 31, 2012 172 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.