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

F•• A••••••• L••

Former SEC-registered adviserSeal Beach, CaliforniaCRD 108602SEC 801-55033IAPD
Latest filing Jun 15, 2015
First filing on the tape Mar 29, 2012 · 19 filings
RAUM
$20.6M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$20.6M as of Mar 9, 2015
Mar 29, 2012$35.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 9, 2015
Mar 29, 20120 then
Employees (5.A)1 as of Mar 9, 2015
Jan 30, 20136 then
Private funds: no history
RAUM -18% over the last fiscal year-16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 15, 2015; every figure names its basis
RAUM per advisor
$20.6MderivedRAUM 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
$936,364derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
22reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••••••• R•••••• O•••• · Chief Compliance Officercontrol
    since 12/2011 · owns less than 5%
  • K•••••••• R•••••• O•••• · G•••Ral Partner Is R••••• K•••••••control
    since 08/1990 · owns F of Ina D••• Acquisition LP
Entity owners
  • I•• D••• A••••••••• L• · Owner / R••••• K••••••• G•••Ral Partner
    direct · owns 75% or more
  • O••• K••••••• I••••••••• T•••••• R••••• K••••••• T•••••• · T••••••
    indirect · owns F of O. W. K••••••• I••••••••• Trust
Related persons
Schedule D 7.A
Advisers that list F•• A••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory activities · 1 to 2
    Apr 28, 2015 to May 20, 2015
  • Related adviser · false to true
    Mar 31, 2015 to Apr 28, 2015
  • Advisory activities · 3 to 1
    Mar 9, 2015 to Mar 31, 2015
  • Business name · F•• A••••••• to F•• A••••••• L••
    Mar 9, 2015 to Mar 31, 2015
  • Accounts · 45 to 22
    Nov 13, 2014 to Mar 9, 2015
  • Advisory activities · 5 to 3
    Nov 13, 2014 to Mar 9, 2015
  • Financial planning clients · 26-50 to 1-10
    Nov 13, 2014 to Mar 9, 2015
  • Non-discretionary RAUM · $25.0M to $20.6M
    Nov 13, 2014 to Mar 9, 2015
  • RAUM · $25.0M to $20.6M
    Nov 13, 2014 to Mar 9, 2015
  • Related adviser · true to false
    Nov 13, 2014 to Mar 9, 2015
  • Advisory employees · 4 to 1
    Nov 22, 2013 to Jan 8, 2014
  • BD registered reps · 1 to 0
    Nov 22, 2013 to Jan 8, 2014
  • Employees · 6 to 1
    Nov 22, 2013 to Jan 8, 2014
  • Insurance-licensed employees · 0 to 1
    Nov 22, 2013 to Jan 8, 2014
  • Accounts · 60 to 45
    Mar 4, 2013 to Nov 22, 2013
  • Non-discretionary RAUM · $35.0M to $25.0M
    Mar 4, 2013 to Nov 22, 2013
  • RAUM · $35.0M to $25.0M
    Mar 4, 2013 to Nov 22, 2013
  • Related adviser · false to true
    Mar 4, 2013 to Nov 22, 2013
  • Advisory employees · unset to 4.0
    Mar 29, 2012 to Dec 17, 2012
  • BD registered reps · unset to 1.0
    Mar 29, 2012 to Dec 17, 2012
  • Employees · unset to 6.0
    Mar 29, 2012 to Dec 17, 2012
  • State-registered IARs · 0 to 1
    Mar 29, 2012 to Dec 17, 2012
Signals
No event on the tape.
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