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••• F•••••••• M••••••••• L••
Latest filing Mar 27, 2024
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$230M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
94%
$217M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$230M as of Feb 27, 2024
Mar 30, 2012$95.0M then
HNW client RAUM$164M as of Feb 27, 2024
Mar 29, 2018$101M then
State-registered IARs (5.B.3)3 as of Feb 27, 2024
Mar 30, 20120 then
Employees (5.A)3 as of Feb 27, 2024
Mar 28, 20131 then
Private funds: no history
RAUM +14% over the last fiscal year+8.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $76.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $426,652derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $38.7M, 61 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$164M71%
- Individuals$53.5M23%
- Pension and profit-sharing plans$11.1M4.8%
- Charitable organizations$1.4M0.6%
- Corporations and businesses$251,8530.1%
- Individual clients
- 156reported
- HNW clients
- 120reported
- Pension plan clients
- 7reported
- Charitable clients
- 5reported
- Accounts
- 539reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.7M for 61 clientsreported
- 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
- R••••• J•••• K••• to S••••• S••••••••• C•••••••••Oct 4, 2024 · Other
- W•••• A•••••••• K••••••••• to S••••• W••••• M•••••••••Oct 4, 2024 · RIA to RIA
- M•••••• L••• C••••• to S••••• W••••• M•••••••••Oct 4, 2024 · RIA to RIA
- L••••• L•••• Z••••• to S••••• W••••• M•••••••••Oct 4, 2024 · RIA to RIA
- J•••• B•••• O•••••••• to S••••• S••••••••• C•••••••••Aug 31, 2005 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for S••••• W••••• M•••••••••Oct 4, 2024 · Fullerton, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• D••••• C• · Membercontrolsince 04/2001 · owns 50% to 75%
- K•••• R•••••• J•••• · Member, President, Chief Compliance Officercontrolsince 04/2001 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fullerton, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 509 to 539Feb 15, 2024 to Feb 27, 2024
- Corporate clients · unset to 1.0Feb 15, 2024 to Feb 27, 2024
- HNW clients · 122 to 120Feb 15, 2024 to Feb 27, 2024
- Individual clients · 145 to 156Feb 15, 2024 to Feb 27, 2024
- Assets in custody · $40.4M to $38.7MFeb 15, 2024 to Feb 27, 2024
- Financial planning clients · unset to 0Feb 15, 2024 to Feb 27, 2024
- HNW RAUM · $152M to $164MFeb 15, 2024 to Feb 27, 2024
- Individual RAUM · $40.5M to $53.5MFeb 15, 2024 to Feb 27, 2024
- Non-discretionary RAUM · $202M to $230MFeb 15, 2024 to Feb 27, 2024
- Pension RAUM · $8.9M to $11.1MFeb 15, 2024 to Feb 27, 2024
- RAUM · $202M to $230MFeb 15, 2024 to Feb 27, 2024
- Accounts · 470 to 509Mar 30, 2022 to Mar 28, 2023
- HNW clients · 113 to 122Mar 30, 2022 to Mar 28, 2023
- Individual clients · 131 to 145Mar 30, 2022 to Mar 28, 2023
- Pension plan clients · 5 to 7Mar 30, 2022 to Mar 28, 2023
- Assets in custody · $42.3M to $40.4MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $170M to $152MMar 30, 2022 to Mar 28, 2023
- Individual RAUM · $42.1M to $40.5MMar 30, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $222M to $202MMar 30, 2022 to Mar 28, 2023
- Pension RAUM · $8.4M to $8.9MMar 30, 2022 to Mar 28, 2023
- RAUM · $222M to $202MMar 30, 2022 to Mar 28, 2023
- Accounts · 432 to 470Mar 31, 2021 to Mar 30, 2022
- Advisory employees · 4 to 3Mar 31, 2021 to Mar 30, 2022
- Charity clients · 2 to 5Mar 31, 2021 to Mar 30, 2022
- HNW clients · 91 to 113Mar 31, 2021 to Mar 30, 2022
- Individual clients · 153 to 131Mar 31, 2021 to Mar 30, 2022
- Pension plan clients · 4 to 5Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $42.0M to $42.3MMar 31, 2021 to Mar 30, 2022
- Employees · 4 to 3Mar 31, 2021 to Mar 30, 2022
- State-registered IARs · 4 to 3Mar 31, 2021 to Mar 30, 2022
- HNW RAUM · $125M to $170MMar 31, 2021 to Mar 30, 2022
- Individual RAUM · $46.3M to $42.1MMar 31, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $178M to $222MMar 31, 2021 to Mar 30, 2022
- Pension RAUM · $6.5M to $8.4MMar 31, 2021 to Mar 30, 2022
- RAUM · $178M to $222MMar 31, 2021 to Mar 30, 2022
- Accounts · 421 to 432Jun 5, 2020 to Mar 31, 2021
- HNW clients · 94 to 91Jun 5, 2020 to Mar 31, 2021
- Individual clients · 127 to 153Jun 5, 2020 to Mar 31, 2021
- Assets in custody · $39.3M to $42.0MJun 5, 2020 to Mar 31, 2021
- HNW RAUM · $117M to $125MJun 5, 2020 to Mar 31, 2021
Signals
6 dated events
- W•••• A•••••••• K••••••••• left K••• F•••••••• M••••••••• L•• for S••••• W••••• M••••••••• (registered 2024-10-01)Oct 4, 2024 · Advisor changed firm · fact
- R••••• J•••• K••• left K••• F•••••••• M••••••••• L•• for S••••• S••••••••• C••••••••• (registered 1998-11-30)Oct 4, 2024 · Advisor changed firm · fact
- M•••••• L••• C••••• left K••• F•••••••• M••••••••• L•• for S••••• W••••• M••••••••• (registered 2024-10-01)Oct 4, 2024 · Advisor changed firm · fact
- L••••• L•••• Z••••• left K••• F•••••••• M••••••••• L•• for S••••• W••••• M••••••••• (registered 2024-10-02)Oct 4, 2024 · Advisor changed firm · fact
- K••• F•••••••• M••••••••• L••'s advisors moved to S••••• W••••• M••••••••• (Fullerton, CA): 3 of 4 registered, on the same dayOct 4, 2024 · Firm absorbed (people side) · derived
- C D•••• K••• (Member) appeared on Schedule A of K••• F•••••••• M••••••••• L••May 28, 2020 · Control person joined · 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