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.

Former SEC-registered adviser

Comprehensive Financial Services

Former SEC-registered adviserBurbank, CaliforniaCRD 111662SEC 801-64436IAPD
Legal name Ken Marinace & Associates, Inc
Latest filing Mar 25, 2016
First filing on the tape Mar 19, 2012 · 5 filings
RAUM
$115M
reported, Item 5.F
Discretionary
35%
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$115M as of Mar 25, 2016
Mar 19, 2012$135M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 25, 2016
Mar 19, 20120 then
Employees (5.A)6 as of Mar 25, 2016
Mar 15, 20138 then
Private funds: no history
RAUM -33% over the last fiscal year-10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 2016; every figure names its basis
RAUM per advisor
$57.5MderivedRAUM 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
$148,896derivedRAUM over accounts (5.F.2.f)
Discretionary
35%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-33%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 assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planningreportedItem 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 an insurance broker or agent (6.A.6)
  • 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
772reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Dana Anahid Luke · General Managercontrol
      since 06/2005 · owns less than 5%
    • Anthony Kenneth Marinace · President/Chief Compliance Officercontrol
      since 04/1994 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,118 to 772
      Mar 18, 2015 to Mar 25, 2016
    • Discretionary RAUM · $92.2M to $39.7M
      Mar 18, 2015 to Mar 25, 2016
    • Non-discretionary RAUM · $80.5M to $75.2M
      Mar 18, 2015 to Mar 25, 2016
    • RAUM · $173M to $115M
      Mar 18, 2015 to Mar 25, 2016
    • Accounts · 1,072 to 1,118
      Feb 12, 2014 to Mar 18, 2015
    • Discretionary RAUM · $82.7M to $92.2M
      Feb 12, 2014 to Mar 18, 2015
    • Non-discretionary RAUM · $84.5M to $80.5M
      Feb 12, 2014 to Mar 18, 2015
    • RAUM · $167M to $173M
      Feb 12, 2014 to Mar 18, 2015
    • Accounts · 1,248 to 1,072
      Mar 15, 2013 to Feb 12, 2014
    • Employees · 8 to 6
      Mar 15, 2013 to Feb 12, 2014
    • Discretionary RAUM · $94.1M to $82.7M
      Mar 15, 2013 to Feb 12, 2014
    • Non-discretionary RAUM · $63.9M to $84.5M
      Mar 15, 2013 to Feb 12, 2014
    • RAUM · $158M to $167M
      Mar 15, 2013 to Feb 12, 2014
    • Accounts · 355 to 1,248
      Mar 19, 2012 to Mar 15, 2013
    • Advisory employees · unset to 2.0
      Mar 19, 2012 to Mar 15, 2013
    • BD registered reps · unset to 3.0
      Mar 19, 2012 to Mar 15, 2013
    • Employees · unset to 8.0
      Mar 19, 2012 to Mar 15, 2013
    • State-registered IARs · 0 to 2
      Mar 19, 2012 to Mar 15, 2013
    • Discretionary RAUM · $72.3M to $94.1M
      Mar 19, 2012 to Mar 15, 2013
    • Non-discretionary RAUM · $62.7M to $63.9M
      Mar 19, 2012 to Mar 15, 2013
    • RAUM · $135M to $158M
      Mar 19, 2012 to Mar 15, 2013
    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