DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
K•••••• I••••••••• M••••••••• C•••
Latest filing Mar 24, 2026
First filing on the tape Mar 20, 2012 · 20 filings
SEC status approved since Feb 17, 1993
RAUM
$180M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
33%
$59.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$180M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$180M as of Mar 24, 2026
Mar 20, 2012$732M then
HNW client RAUM$59.5M as of Mar 24, 2026
Mar 28, 2018$117M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 20, 20120 then
Employees (5.A)7 as of Mar 24, 2026
Mar 7, 201310 then
Private funds1 as of Mar 24, 2026
Mar 20, 20121 then
RAUM -3.1% over the last fiscal year+0.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $180MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.9MderivedHNW RAUM over HNW clients
- Average account
- $20.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 58%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $16.6M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$87.4M49%
- High-net-worth individuals$59.5M33%
- Pooled investment vehicles$16.6M9.2%
- Charitable organizations$16.4M9.1%
- Individual clients
- n/areported
- HNW clients
- 6reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.6M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.33 fund_share=0.09 institutional_share=0.58 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J• K•••••Chartered Financial Analyst | San Mateo, Ca | Nov 5, 2025 | 33 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K•••••• I••••••••• F•••• L• | Other Private Fund | $13.8M | 6 | Mar 20, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K•••••• A•••••• J• · Chief Investment Officercontrolsince 02/1993 · owns 50% to 75%
- S•••••••• D••••• J• · President, Chief Compliance Officercontrolsince 02/1993 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 24, 2026institutional share of RAUM of 58% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 19.3 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
What changed
consecutive filings, newest first
- Assets in custody · $15.9M to $16.6MMar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $186M to $180MMar 25, 2025 to Mar 24, 2026
- HNW RAUM · $57.1M to $59.5MMar 25, 2025 to Mar 24, 2026
- Pension RAUM · $82.8M to $87.4MMar 25, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $15.9M to $16.6MMar 25, 2025 to Mar 24, 2026
- RAUM · $186M to $180MMar 25, 2025 to Mar 24, 2026
- Assets in custody · $13.8M to $15.9MMar 26, 2024 to Mar 25, 2025
- Employees · 8 to 7Mar 26, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $153M to $186MMar 26, 2024 to Mar 25, 2025
- HNW RAUM · $50.7M to $57.1MMar 26, 2024 to Mar 25, 2025
- Pension RAUM · $62.4M to $82.8MMar 26, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $13.8M to $15.9MMar 26, 2024 to Mar 25, 2025
- RAUM · $153M to $186MMar 26, 2024 to Mar 25, 2025
- Accounts · 10 to 9Aug 3, 2023 to Mar 26, 2024
- Advisory employees · 5 to 4Aug 3, 2023 to Mar 26, 2024
- Charity clients · unset to 1.0Aug 3, 2023 to Mar 26, 2024
- HNW clients · 7 to 6Aug 3, 2023 to Mar 26, 2024
- Pension plan clients · 2 to 1Aug 3, 2023 to Mar 26, 2024
- Assets in custody · $12.7M to $13.8MAug 3, 2023 to Mar 26, 2024
- Employees · 9 to 8Aug 3, 2023 to Mar 26, 2024
- Discretionary RAUM · $178M to $153MAug 3, 2023 to Mar 26, 2024
- HNW RAUM · $88.1M to $50.7MAug 3, 2023 to Mar 26, 2024
- Pension RAUM · $77.2M to $62.4MAug 3, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $12.7M to $13.8MAug 3, 2023 to Mar 26, 2024
- RAUM · $178M to $153MAug 3, 2023 to Mar 26, 2024
- Assets in custody · $13.9M to $12.7MMar 30, 2022 to Mar 23, 2023
- Discretionary RAUM · $226M to $178MMar 30, 2022 to Mar 23, 2023
- HNW RAUM · $107M to $88.1MMar 30, 2022 to Mar 23, 2023
- Pension RAUM · $105M to $77.2MMar 30, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $13.9M to $12.7MMar 30, 2022 to Mar 23, 2023
- RAUM · $226M to $178MMar 30, 2022 to Mar 23, 2023
- Accounts · 11 to 10Mar 26, 2021 to Mar 30, 2022
- HNW clients · 8 to 7Mar 26, 2021 to Mar 30, 2022
- Assets in custody · $10.3M to $13.9MMar 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $213M to $226MMar 26, 2021 to Mar 30, 2022
- HNW RAUM · $85.0M to $107MMar 26, 2021 to Mar 30, 2022
- Pension RAUM · $118M to $105MMar 26, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $10.3M to $13.9MMar 26, 2021 to Mar 30, 2022
- RAUM · $213M to $226MMar 26, 2021 to Mar 30, 2022
Signals
1 dated events
- Edward Thomas Stickley (Chief Compliance Officer) no longer on Schedule A of K•••••• I••••••••• M••••••••• C••• (listed 2023-08-03, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- K•••••• I••••••••• M••••••••• C••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/834638reportedpublic record, Form ADV, Sep 19, 2026
- Website
- K••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 650-572-9450reportedpublic record, Form ADV, Mar 24, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $180Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026