DFX Intelligence

S••••••• F•••••••• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S••••••• F•••••••• A•••••••

S••••••• INVESTMENT MANAGEMENT, INC., CRD 111072

SACRAMENTO, CA

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Search this name across graphsid dfx:ria:f0bf6b9c-9211-93af-f7e7-ceb26536d115

Data as of Jun 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Jun 29, 2020
20 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: $209M••• Locked
Discretionary RAUM: $209M
Private client RAUM: $209Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••• D•••••• R•••	DIRECTOR OF OPERATIONS/CCO	Na	yes	05/2018	Aug 16, 2016	Jun 29, 2020
S•••••••• K••••• W••••	President	E	yes	01/1997	Mar 23, 2012	Jun 29, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K•••• W• S•••••••	n/a	n/a	n/a	Y	yes	n/a
U••••• W•••••••• L••••••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$209M	$191M	9.4%	$225M	-2.3%	4	6	0	0

Relationships

Controls (2)

← S•••••••• K••••• W••••OwnerPRESIDENT, ownership code E, individual
Mar 23, 2012 to presentfactForm ADV
← E•••••• D•••••• R•••OwnerDIRECTOR OF OPERATIONS/CCO, ownership code NA, individual
Aug 16, 2016 to presentfactForm ADV

Registered with (6)

← D•••• D••••••Advisorregistration: previous registration
May 7, 2018 to Apr 3, 2019factForm ADV
← S•••••• A•••••••• K•• S•• B••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0bf6b9c-9211-93af-f7e7-ceb26536d115
First observed: Mar 23, 2012
Last observed: Jun 29, 2020 75 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.