DFX Intelligence

K•• A•••••••• I••: 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•• A•••••••• I••

CRD 304790

COSTA MESA, CA

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Search this name across graphsid dfx:ria:e297ae7f-3a3c-ceb9-b552-86260ef1147b

Data as of Jan 6, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 21, 2019 to Jan 6, 2020
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: $29.4M••• Locked
Discretionary RAUM: $29.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• M•••••• B•	MANAGING PARTNER/CCO	E	yes	11/2018	Jun 21, 2019	Jan 6, 2020
H••• W•••••• M•	VICE PRESIDENT	Na	yes	08/2018	Jun 21, 2019	Jan 6, 2020

Relationships

Controls (2)

← D•••• M•••••• B•OwnerMANAGING PARTNER/CCO, ownership code E, individual
Jun 21, 2019 to presentfactForm ADV
← H••• W•••••• M•OwnerVICE PRESIDENT, ownership code NA, individual
Jun 21, 2019 to presentfactForm ADV

Dated events

Occurred
Jun 21, 2019
First Form ADV filing
K•• A•••••••• I•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e297ae7f-3a3c-ceb9-b552-86260ef1147b
First observed: Jun 21, 2019
Last observed: Jan 6, 2020 81 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.