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•• S•••• • A••••••••• I••

Former SEC-registered adviserSan Diego, CaliforniaCRD 110092SEC 801-56991IAPD
Latest filing Jul 30, 2018
First filing on the tape Dec 8, 2011 · 15 filings
RAUM
$408M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
91%
$371M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$408M as of Mar 30, 2018
Mar 29, 2012$198M then
HNW client RAUM: $324M
State-registered IARs (5.B.3)4 as of Mar 30, 2018
Mar 29, 20120 then
Employees (5.A)9 as of Mar 30, 2018
Mar 27, 201315 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jul 30, 2018; every figure names its basis
RAUM per advisor
$102MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
101derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$468,647derivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$324M79%
  • Individuals$47.2M12%
  • Pension and profit-sharing plans$15.1M3.7%
  • Corporations and businesses$11.3M2.8%
  • Charitable organizations$10.6M2.6%
Individual clients
161reported
HNW clients
242reported
Pension plan clients
17reported
Charitable clients
5reported
Accounts
871reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
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
    • H••••••••• B••••• S•••• · Chief Operating Officer, Cco (As Of 2/2016)control
      since 06/2007 · owns less than 5%
    • H••••••• E•••• G••••••• · Chief Financial Officer, Secretarycontrol
      since 01/2003 · owns less than 5%
    • R••••••••• A•••• · Chief Investment Officercontrol
      since 01/2017 · owns less than 5%
    • S••••• K••••••• A•••• · President, Ceo, Managing Director, Portfolio Manager, Analystcontrol
      since 12/1998 · owns less than 5%
    • S••••• K••••••• A•••• · Stockholdercontrol
      since 02/2001 · owns 75% or more of A•• H•••••••• I•••
    Entity owners
    • A•• H•••••••• I••• · Stockholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • A••••••• S••••• P•••••••• L••
      pooled vehicle sponsorn
    • A•••• P••••••• S••••••••• I•••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 891 to 871
      Apr 1, 2017 to Mar 30, 2018
    • Advisory employees · 9 to 8
      Apr 1, 2017 to Mar 30, 2018
    • Advisory activities · 6 to 7
      Apr 1, 2017 to Mar 30, 2018
    • Charity clients · unset to 5.0
      Apr 1, 2017 to Mar 30, 2018
    • Corporate clients · unset to 3.0
      Apr 1, 2017 to Mar 30, 2018
    • HNW clients · unset to 242.0
      Apr 1, 2017 to Mar 30, 2018
    • Individual clients · unset to 161.0
      Apr 1, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 17.0
      Apr 1, 2017 to Mar 30, 2018
    • Pooled vehicle clients · unset to 0.0
      Apr 1, 2017 to Mar 30, 2018
    • Employees · 10 to 9
      Apr 1, 2017 to Mar 30, 2018
    • Insurance-licensed employees · 5 to 4
      Apr 1, 2017 to Mar 30, 2018
    • State-registered IARs · 5 to 4
      Apr 1, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Apr 1, 2017 to Mar 30, 2018
    • Discretionary RAUM · $318M to $358M
      Apr 1, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 323968120.0
      Apr 1, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 47153915.0
      Apr 1, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $49.9M to $50.1M
      Apr 1, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 15121838.0
      Apr 1, 2017 to Mar 30, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Apr 1, 2017 to Mar 30, 2018
    • RAUM · $368M to $408M
      Apr 1, 2017 to Mar 30, 2018
    • Accounts · 898 to 891
      Mar 24, 2016 to Apr 1, 2017
    • Advisory activities · 7 to 6
      Mar 24, 2016 to Apr 1, 2017
    • BD registered reps · 0 to 2
      Mar 24, 2016 to Apr 1, 2017
    • Employees · 11 to 10
      Mar 24, 2016 to Apr 1, 2017
    • Insurance-licensed employees · 3 to 5
      Mar 24, 2016 to Apr 1, 2017
    • State-registered IARs · 4 to 5
      Mar 24, 2016 to Apr 1, 2017
    • Discretionary RAUM · $312M to $318M
      Mar 24, 2016 to Apr 1, 2017
    • Non-discretionary RAUM · $9.8M to $49.9M
      Mar 24, 2016 to Apr 1, 2017
    • RAUM · $322M to $368M
      Mar 24, 2016 to Apr 1, 2017
    • Discretionary RAUM · $289M to $312M
      May 7, 2015 to Feb 1, 2016
    • Non-discretionary RAUM · $11.2M to $9.8M
      May 7, 2015 to Feb 1, 2016
    • RAUM · $301M to $322M
      May 7, 2015 to Feb 1, 2016
    • Accounts · 353 to 898
      Oct 15, 2014 to Mar 31, 2015
    • Advisory employees · 8 to 9
      Oct 15, 2014 to Mar 31, 2015
    • Advisory activities · 5 to 7
      Oct 15, 2014 to Mar 31, 2015
    • BD registered reps · 7 to 0
      Oct 15, 2014 to Mar 31, 2015
    • Commission compensation · true to false
      Oct 15, 2014 to Mar 31, 2015
    • Employees · 9 to 11
      Oct 15, 2014 to Mar 31, 2015
    • Discretionary RAUM · $264M to $289M
      Oct 15, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $9.4M to $11.2M
      Oct 15, 2014 to Mar 31, 2015
    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