DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

V••••• O• S•••••• I••••••••• L••

CRD 158743

PLAYA DEL REY, CA

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Search this name across graphsid dfx:ria:c55692b1-67d2-198d-352a-f75eea5186a2

Data as of Mar 20, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 7, 2011 to Mar 20, 2014
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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
SEC number: 801-72854
CRD: 158743
Filings on the tape: 5
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• C••••••••• D••	MANAGING DIRECTOR & MEMBER	D	yes	10/2009	Nov 7, 2011	Mar 20, 2014
K•••••• C••••••••• D••	MANAGING DIRECTOR	Na	yes	06/2011	Nov 7, 2011	Mar 20, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•• M•••••• • C••••••• L••	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
2013	Mar 20, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	n/a	$10.2M	n/a	n/a	n/a	2	3	n/a	n/a

Relationships

Controls (3)

← M••• I••••••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Nov 7, 2011 to presentfactForm ADV
← M••••••• G••••••• J•••OwnerMANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER & MEMBER, ownership code D, individual
Nov 7, 2011 to presentfactForm ADV
← K•••••• C••••••••• D••OwnerMANAGING DIRECTOR & MEMBER, ownership code D, individual
Nov 7, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c55692b1-67d2-198d-352a-f75eea5186a2
First observed: Nov 7, 2011
Last observed: Mar 20, 2014 152 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.