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••••••••• C••••••
Legal name K••••••••• I••••••••• C••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 9, 2012 · 11 filings
SEC status approved since Jul 29, 2021
RAUM
$310M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$307M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$310M as of Mar 31, 2026
Feb 9, 2012$39.5M then
HNW client RAUM$298M as of Mar 31, 2026
Mar 30, 2022$196M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Feb 9, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Mar 30, 20223 then
Private funds: no history
RAUM +4.1% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$298M96%
- Individuals$8.5M2.7%
- Charitable organizations$1.9M0.6%
- Corporations and businesses$1.5M0.5%
- Individual clients
- 34reported
- HNW clients
- 81reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 293reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• G• W•••••• | Long Beach, Ca | Nov 17, 2025 | 26 y | 0 |
| J••••••• S•••• W••••••Chartered Financial Analyst | Long Beach, Ca | Jun 1, 2026 | 23 y | 1 |
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 headcount1 left over 36 months
Left, latest
- A••• N••• J•••••• to B••••••• I••••••••• G••••Jun 5, 2025 · RIA to RIA
Joined, latest
- A••• N••• J•••••• from R•• W••••• P•••••••Sep 15, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• J••••••• G• · Managing Partner, Chief Compliance Officercontrolsince 01/2000 · owns 10% to 25%
- W••••••• J•••••••• S•••• · Partnercontrolsince 08/2012 · owns 5% to 10%
- W••••••• R••••••• G• · Partnercontrolsince 01/2000 · owns 75% or more
- W••••••• J••••••• G• · Trusteecontrolsince 01/2000 · owns 75% or more of J•••••• G• W•••••• T•••• D•• J•••••• 1•• 2•••
- W••••••• J•••••••• S•••• · Trusteecontrolsince 08/2012 · owns 75% or more of J••••••• S• W•••••• S••••••• P••••••• T•••• D•• A••••• 2•• 2•••
- W••••••• R••••••• G• · Trusteecontrolsince 01/2000 · owns 50% to 75% of W•••••• F••••• T•••• D•• N••••••• 2•• 1•••
- W••••••• C••••••• B• · Trusteesince 01/2000 · owns 50% to 75% of W•••••• F••••• T•••• D•• N••••••• 2•• 1•••
Entity owners
- J•••••• G• W•••••• T•••• D•• J•••••• 1•• 2••• · Shareholderdirect · owns 10% to 25%
- J••••••• S• W•••••• S••••••• P••••••• T•••• D•• A••••• 2•• 2••• · Shareholderdirect · owns 5% to 10%
- W•••••• F••••• T•••• D•• N••••••• 2•• 1••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••• N••• J••••••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Long Beach, Ca · principal | 2 | 2 | 0 | ||
| New York, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Santa Barbara, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 276 to 293Mar 31, 2025 to Mar 31, 2026
- HNW clients · 80 to 81Mar 31, 2025 to Mar 31, 2026
- Individual clients · 28 to 34Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $298M to $310MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $288M to $298MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $6.1M to $8.5MMar 31, 2025 to Mar 31, 2026
- RAUM · $298M to $310MMar 31, 2025 to Mar 31, 2026
- Accounts · 235 to 276Mar 28, 2024 to Mar 31, 2025
- HNW clients · 71 to 80Mar 28, 2024 to Mar 31, 2025
- Individual clients · 21 to 28Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $250M to $298MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $244M to $288MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $4.2M to $6.1MMar 28, 2024 to Mar 31, 2025
- RAUM · $250M to $298MMar 28, 2024 to Mar 31, 2025
- Related adviser · true to falseMar 28, 2024 to Mar 31, 2025
- Accounts · 225 to 235Sep 15, 2023 to Mar 28, 2024
- Advisory employees · 3 to 4Sep 15, 2023 to Mar 28, 2024
- HNW clients · 74 to 71Sep 15, 2023 to Mar 28, 2024
- Individual clients · 18 to 21Sep 15, 2023 to Mar 28, 2024
- Employees · 3 to 4Sep 15, 2023 to Mar 28, 2024
- Discretionary RAUM · $174M to $250MSep 15, 2023 to Mar 28, 2024
- HNW RAUM · $167M to $244MSep 15, 2023 to Mar 28, 2024
- Individual RAUM · $6.0M to $4.2MSep 15, 2023 to Mar 28, 2024
- RAUM · $174M to $250MSep 15, 2023 to Mar 28, 2024
- Related adviser · false to trueSep 15, 2023 to Mar 28, 2024
- Accounts · 212 to 225Mar 30, 2022 to Mar 31, 2023
- HNW clients · 58 to 74Mar 30, 2022 to Mar 31, 2023
- Individual clients · 26 to 18Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $203M to $174MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $196M to $167MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $6.0M to $6.0MMar 30, 2022 to Mar 31, 2023
- RAUM · $203M to $174MMar 30, 2022 to Mar 31, 2023
- Accounts · 177 to 212Jun 28, 2021 to Mar 30, 2022
- Advisory employees · 4 to 3Jun 28, 2021 to Mar 30, 2022
- HNW clients · 51 to 58Jun 28, 2021 to Mar 30, 2022
- Individual clients · 25 to 26Jun 28, 2021 to Mar 30, 2022
- Employees · 4 to 3Jun 28, 2021 to Mar 30, 2022
- Discretionary RAUM · $151M to $203MJun 28, 2021 to Mar 30, 2022
- HNW RAUM · $142M to $196MJun 28, 2021 to Mar 30, 2022
Signals
3 dated events
- A••• N••• J•••••• left K••••••••• I••••••••• C•••••• for B••••••• I••••••••• G•••• (registered 2024-09-20)Jun 5, 2025 · Advisor changed firm · fact
- Scott Jonathan Wimbish (Partner) appeared on Schedule A of K••••••••• I••••••••• C••••••Jun 28, 2021 · Control person joined · fact
- K••••••••• I••••••••• C•••••• filed its initial SEC registration (Form ADV)Jun 28, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 562-983-6677reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-566-4999reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- K•••••••••IC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 562-983-6677reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- k•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- k•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026