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
T•• K•••• F•••••••• G••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Jul 21, 2005
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$174M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$37.2M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$186M as of Mar 31, 2026
Mar 30, 2012$100M then
HNW client RAUM$145M as of Mar 31, 2026
Mar 28, 2018$143M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Feb 6, 20130 then
Employees (5.A)5 as of Mar 31, 2026
Feb 6, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $37.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $240,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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
- +0.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M78%
- Individuals$29.6M16%
- Pension and profit-sharing plans$11.4M6.1%
- Corporations and businesses$302,7420.2%
- Individual clients
- 129reported
- HNW clients
- 84reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 773reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• S••••• K•••• | Rancho Mirage, Ca | Jan 14, 2003 | 35 y | 0 |
| J••• E••• K•••• | Rancho Mirage, Ca | Nov 17, 2003 | 39 y | 0 |
| J••• B••••••••• W•••• | Rancho Mirage, Ca | Aug 1, 2018 | 19 y | 0 |
| P•••• J••••••••• H••••••• | Rancho Mirage, Ca | Mar 2, 2020 | 16 y | 0 |
| D•••• T•••••• | Rancho Mirage, Ca | Jan 1, 2025 | 12 y | 0 |
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 headcount0 left over 36 months
Left, latest
- J••••• L••••• G•••• to H••••••• W••••• M••••••••• I•••Nov 16, 2022 · RIA to RIA
- M••••••• M• H••• to H••••••• W••••• M••••••••• I•••Feb 28, 2022 · RIA to a newly registered adviser
- R••• K••• G•••• to H••••••• W••••• M••••••••• I•••Feb 28, 2022 · RIA to a newly registered adviser
- J•••• M•••• D••••••••• to H••••••• W••••• M••••••••• I•••Feb 28, 2022 · RIA to a newly registered adviser
- B••• H••••• C•••••• B•••••• to Y••••••••• F•••••••• A•••••••• L••Jul 21, 2015 · Other
Joined, latest
- M••••••• M• H••• from L•• F•••••••• L••Oct 26, 2021 · Affiliated broker-dealer or bank to independent RIA
- J••••• L••••• G•••• from F•••• F•••••••• A•••••••• L••Dec 7, 2010 · Other
- B••• H••••• C•••••• B•••••• from E••••• J••••Jan 19, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for H••••••• W••••• M••••••••• I•••Feb 28, 2022 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• B••••• S••••• · Presidentcontrolsince 01/1991 · owns less than 5%
- T••••••• D•••• · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- K••••• B••••• S••••• · Trusteecontrolsince 12/2018 · owns F of T•• K•••• L••••• T••••• U•• D•••• D••••••• 1•• 2•••
Entity owners
- T•• K•••• L••••• T••••• U•• D•••• D••••••• 1•• 2••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Rancho Mirage, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 721 to 773Mar 19, 2025 to Mar 31, 2026
- HNW clients · 86 to 84Mar 19, 2025 to Mar 31, 2026
- Individual clients · 126 to 129Mar 19, 2025 to Mar 31, 2026
- Discretionary RAUM · $163M to $186MMar 19, 2025 to Mar 31, 2026
- HNW RAUM · $123M to $145MMar 19, 2025 to Mar 31, 2026
- Individual RAUM · $27.9M to $29.6MMar 19, 2025 to Mar 31, 2026
- Pension RAUM · $11.9M to $11.4MMar 19, 2025 to Mar 31, 2026
- RAUM · $163M to $186MMar 19, 2025 to Mar 31, 2026
- Accounts · 725 to 721Dec 17, 2024 to Mar 19, 2025
- BD registered reps · 3 to 0Dec 17, 2024 to Mar 19, 2025
- HNW clients · 87 to 86Dec 17, 2024 to Mar 19, 2025
- Individual clients · 130 to 126Dec 17, 2024 to Mar 19, 2025
- Pension plan clients · 8 to 9Dec 17, 2024 to Mar 19, 2025
- Financial planning clients · 51-100 to 51-100Dec 17, 2024 to Mar 19, 2025
- Discretionary RAUM · $140M to $163MDec 17, 2024 to Mar 19, 2025
- HNW RAUM · $106M to $123MDec 17, 2024 to Mar 19, 2025
- Individual RAUM · $24.0M to $27.9MDec 17, 2024 to Mar 19, 2025
- Pension RAUM · $10.1M to $11.9MDec 17, 2024 to Mar 19, 2025
- RAUM · $140M to $163MDec 17, 2024 to Mar 19, 2025
- Related broker-dealer · true to falseAug 26, 2024 to Oct 1, 2024
- Accounts · 726 to 725Nov 6, 2023 to Mar 15, 2024
- Advisory employees · 6 to 5Nov 6, 2023 to Mar 15, 2024
- HNW clients · 77 to 87Nov 6, 2023 to Mar 15, 2024
- Individual clients · 135 to 130Nov 6, 2023 to Mar 15, 2024
- Employees · 8 to 5Nov 6, 2023 to Mar 15, 2024
- State-registered IARs · 6 to 5Nov 6, 2023 to Mar 15, 2024
- Discretionary RAUM · $123M to $140MNov 6, 2023 to Mar 15, 2024
- HNW RAUM · $89.7M to $106MNov 6, 2023 to Mar 15, 2024
- Individual RAUM · $24.1M to $24.0MNov 6, 2023 to Mar 15, 2024
- Pension RAUM · $8.7M to $10.1MNov 6, 2023 to Mar 15, 2024
- RAUM · $123M to $140MNov 6, 2023 to Mar 15, 2024
- Accounts · 781 to 726Dec 8, 2022 to Mar 23, 2023
- Advisory employees · 5 to 6Dec 8, 2022 to Mar 23, 2023
- HNW clients · 74 to 77Dec 8, 2022 to Mar 23, 2023
- Individual clients · 139 to 135Dec 8, 2022 to Mar 23, 2023
- Pension plan clients · 9 to 8Dec 8, 2022 to Mar 23, 2023
- Employees · 7 to 8Dec 8, 2022 to Mar 23, 2023
- Insurance-licensed employees · 1 to 0Dec 8, 2022 to Mar 23, 2023
- State-registered IARs · 7 to 6Dec 8, 2022 to Mar 23, 2023
- Other offices · 1 to 0Dec 8, 2022 to Mar 23, 2023
Signals
8 dated events
- D•••• T•••••• (Chief Compliance Officer) appeared on Schedule A of T•• K•••• F•••••••• G••••• I•••Aug 8, 2024 · Control person joined · fact
- J••••• L••••• G•••• left T•• K•••• F•••••••• G••••• I••• for H••••••• W••••• M••••••••• I••• (registered 2022-04-11)Nov 16, 2022 · Advisor changed firm · fact
- T•• K•••• F•••••••• G••••• I••• reported RAUM $140.7M, down 50% from $280.4M (2021-03-14 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- 3 advisors left T•• K•••• F•••••••• G••••• I••• (San Diego, CA) for H••••••• W••••• M••••••••• I••• on the same dayFeb 28, 2022 · Team lift-out · derived
- R••• K••• G•••• left T•• K•••• F•••••••• G••••• I••• for H••••••• W••••• M••••••••• I••• (registered 2021-11-22)Feb 28, 2022 · Advisor changed firm · fact
- J•••• M•••• D••••••••• left T•• K•••• F•••••••• G••••• I••• for H••••••• W••••• M••••••••• I••• (registered 2021-12-16)Feb 28, 2022 · Advisor changed firm · fact
- M••••••• M• H••• left T•• K•••• F•••••••• G••••• I••• for H••••••• W••••• M••••••••• I••• (registered 2021-12-21)Feb 28, 2022 · Advisor changed firm · fact
- Gordon Gail K•••• (Executive Vp) no longer on Schedule A of T•• K•••• F•••••••• G••••• I••• (listed 2018-11-09, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
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
- Website
- bryankocen.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-324-4015reportedpublic record, Form ADV, Mar 31, 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
- $37.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026