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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Former SEC-registered adviser

K••••••• C•••••• C•••••••••

Former SEC-registered adviserSan Diego, CaliforniaCRD 10722SEC 801-78249IAPD
Latest filing May 16, 2016
First filing on the tape Jun 20, 2013 · 14 filings
RAUM
$12.5M
reported, Item 5.F
Discretionary
68%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$12.5M as of Sep 22, 2015
Sep 30, 2013$22.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)15 as of Sep 22, 2015
Sep 30, 201312 then
Employees (5.A)15 as of Sep 22, 2015
Sep 30, 201313 then
Private funds: no history
RAUM -80% over the last fiscal yearIARs 23 to 15
Practice profile
derived from the filing of May 16, 2016; every figure names its basis
RAUM per advisor
$831,656derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$87,237derivedRAUM over accounts (5.F.2.f)
Discretionary
68%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
15.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-80%derivedbetween the last two annual amendments
Advisor growth, one year
-35%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
143reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• D•••• J••••• · Ceo, Ccocontrol
      since 11/2012 · owns less than 5%
    • D•••••• N•••••••• I•••• · Finop
      since 02/2015 · owns less than 5%
    Entity owners
    • K•• A••••••••• L•• · Owner
      direct · owns 75% or more
    • E•• G••••• H•••••••• L•• · Owner
      indirect · owns 50% to 75% of K•• A••••••••• L••
    • T•• H•••••••• L•• · Owner
      indirect · owns 25% to 50% of K•• A••••••••• L••
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list K••••••• C•••••• C••••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 320 to 143
      Feb 27, 2015 to Sep 22, 2015
    • BD registered reps · 18 to 12
      Feb 27, 2015 to Sep 22, 2015
    • Employees · 18 to 15
      Feb 27, 2015 to Sep 22, 2015
    • Insurance-licensed employees · 4 to 3
      Feb 27, 2015 to Sep 22, 2015
    • Discretionary RAUM · $33.7M to $8.5M
      Feb 27, 2015 to Sep 22, 2015
    • Non-discretionary RAUM · $18.4M to $4.0M
      Feb 27, 2015 to Sep 22, 2015
    • RAUM · $52.1M to $12.5M
      Feb 27, 2015 to Sep 22, 2015
    • Accounts · 270 to 320
      Dec 18, 2014 to Feb 27, 2015
    • Advisory employees · 23 to 15
      Dec 18, 2014 to Feb 27, 2015
    • BD registered reps · 6 to 18
      Dec 18, 2014 to Feb 27, 2015
    • Employees · 23 to 18
      Dec 18, 2014 to Feb 27, 2015
    • Insurance-licensed employees · 0 to 4
      Dec 18, 2014 to Feb 27, 2015
    • State-registered IARs · 23 to 15
      Dec 18, 2014 to Feb 27, 2015
    • Discretionary RAUM · $40.1M to $33.7M
      Dec 18, 2014 to Feb 27, 2015
    • Non-discretionary RAUM · $23.2M to $18.4M
      Dec 18, 2014 to Feb 27, 2015
    • RAUM · $63.3M to $52.1M
      Dec 18, 2014 to Feb 27, 2015
    • Accounts · 194 to 270
      Apr 10, 2014 to Sep 29, 2014
    • Advisory employees · 14 to 23
      Apr 10, 2014 to Sep 29, 2014
    • BD registered reps · 14 to 6
      Apr 10, 2014 to Sep 29, 2014
    • Employees · 14 to 23
      Apr 10, 2014 to Sep 29, 2014
    • State-registered IARs · 14 to 23
      Apr 10, 2014 to Sep 29, 2014
    • Discretionary RAUM · $16.9M to $40.1M
      Apr 10, 2014 to Sep 29, 2014
    • Non-discretionary RAUM · $36.8M to $23.2M
      Apr 10, 2014 to Sep 29, 2014
    • RAUM · $53.6M to $63.3M
      Apr 10, 2014 to Sep 29, 2014
    • Advisory employees · 12 to 14
      Jan 22, 2014 to Jan 30, 2014
    • BD registered reps · 12 to 14
      Jan 22, 2014 to Jan 30, 2014
    • Employees · 13 to 14
      Jan 22, 2014 to Jan 30, 2014
    • State-registered IARs · 12 to 14
      Jan 22, 2014 to Jan 30, 2014
    • Accounts · 191 to 194
      Sep 30, 2013 to Jan 10, 2014
    • Discretionary RAUM · $4.2M to $16.9M
      Sep 30, 2013 to Jan 10, 2014
    • Non-discretionary RAUM · $17.8M to $36.8M
      Sep 30, 2013 to Jan 10, 2014
    • RAUM · $22.0M to $53.6M
      Sep 30, 2013 to Jan 10, 2014
    • Accounts · 0 to 191
      Aug 20, 2013 to Sep 30, 2013
    • Advisory employees · 10 to 12
      Aug 20, 2013 to Sep 30, 2013
    • Advisory activities · 3 to 4
      Aug 20, 2013 to Sep 30, 2013
    • Employees · 12 to 13
      Aug 20, 2013 to Sep 30, 2013
    • Financial planning clients · 0 to 1-10
      Aug 20, 2013 to Sep 30, 2013
    • State-registered IARs · 10 to 12
      Aug 20, 2013 to Sep 30, 2013
    • Discretionary RAUM · $0 to $4.2M
      Aug 20, 2013 to Sep 30, 2013
    • Non-discretionary RAUM · $0 to $17.8M
      Aug 20, 2013 to Sep 30, 2013
    Signals
    1 dated events
    • K••••••• C•••••• C••••••••• filed its initial SEC registration (Form ADV)
      Jun 20, 2013 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026