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
K•••• P••••• • P•••••• F••••••••• I•••
Latest filing May 6, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Sep 1, 2021
RAUM
$233M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$232M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$58.2M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$233M as of May 6, 2026
Mar 30, 2012$80.6M then
HNW client RAUM$115M as of May 6, 2026
Mar 24, 2022$78.1M then
State-registered IARs (5.B.3)3 as of May 6, 2026
Mar 30, 20120 then
Employees (5.A)5 as of May 6, 2026
Mar 24, 20225 then
Private funds: no history
RAUM +26% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $58.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $287,993derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, subscription, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$117M50%
- High-net-worth individuals$115M49%
- Charitable organizations$767,8110.3%
- Corporations and businesses$53,0640.0%
- Individual clients
- 277reported
- HNW clients
- 59reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 808reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• A••• K•••• | Irvine, Ca | Jan 10, 2005 | 23 y | 1 |
| J•••• R••••• T•••• | Irvine, Ca | Feb 16, 2005 | 21 y | 1 |
| A••••• T••••• R••• | Irvine, Ca | Sep 22, 2020 | 10 y | 1 |
| L••• G••••• G••••••• | Irvine, Ca | Feb 18, 2023 | 10 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
none on the tape
Joined, latest
- A••••• T••••• R••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 22, 2020 · Other
- J•••• R••••• T•••• from G••••• K•••• • A•••••••••Feb 16, 2005 · Other
- J••••• A••• K•••• from G••••• K•••• • A•••••••••Jan 10, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• J•••••• A••• · Ceo & Secretary/Treasurercontrolsince 11/2012 · owns 75% or more
- T••••• J••••• R••••• · Chief Compliance Officercontrolsince 04/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 735 to 808Sep 25, 2025 to Feb 17, 2026
- Corporate clients · 0 to 1Sep 25, 2025 to Feb 17, 2026
- HNW clients · 48 to 59Sep 25, 2025 to Feb 17, 2026
- Individual clients · 280 to 277Sep 25, 2025 to Feb 17, 2026
- Discretionary RAUM · $185M to $233MSep 25, 2025 to Feb 17, 2026
- HNW RAUM · $86.3M to $115MSep 25, 2025 to Feb 17, 2026
- Individual RAUM · $98.4M to $117MSep 25, 2025 to Feb 17, 2026
- RAUM · $185M to $233MSep 25, 2025 to Feb 17, 2026
- Financial planning clients · unset to Feb 10, 2025 to Mar 14, 2025
- Accounts · 720 to 735Oct 16, 2024 to Feb 10, 2025
- HNW clients · 36 to 48Oct 16, 2024 to Feb 10, 2025
- Individual clients · 318 to 280Oct 16, 2024 to Feb 10, 2025
- Employees · 4 to 5Oct 16, 2024 to Feb 10, 2025
- Discretionary RAUM · $163M to $185MOct 16, 2024 to Feb 10, 2025
- HNW RAUM · $63.8M to $86.3MOct 16, 2024 to Feb 10, 2025
- Individual RAUM · $98.6M to $98.4MOct 16, 2024 to Feb 10, 2025
- RAUM · $163M to $185MOct 16, 2024 to Feb 10, 2025
- Advisory employees · 2 to 3Sep 19, 2024 to Oct 16, 2024
- Employees · 3 to 4Sep 19, 2024 to Oct 16, 2024
- Advisory employees · 3 to 2Apr 26, 2024 to Sep 19, 2024
- Employees · 4 to 3Apr 26, 2024 to Sep 19, 2024
- State-registered IARs · 4 to 3Apr 26, 2024 to Sep 19, 2024
- Accounts · 744 to 720Sep 22, 2023 to Mar 6, 2024
- HNW clients · 34 to 36Sep 22, 2023 to Mar 6, 2024
- Individual clients · 323 to 318Sep 22, 2023 to Mar 6, 2024
- Discretionary RAUM · $163M to $163MSep 22, 2023 to Mar 6, 2024
- HNW RAUM · $63.2M to $63.8MSep 22, 2023 to Mar 6, 2024
- Individual RAUM · $99.3M to $98.6MSep 22, 2023 to Mar 6, 2024
- RAUM · $163M to $163MSep 22, 2023 to Mar 6, 2024
- Accounts · 705 to 744Sep 13, 2023 to Sep 22, 2023
- HNW clients · 13 to 34Sep 13, 2023 to Sep 22, 2023
- Individual clients · 690 to 323Sep 13, 2023 to Sep 22, 2023
- Discretionary RAUM · $145M to $163MSep 13, 2023 to Sep 22, 2023
- HNW RAUM · $26.8M to $63.2MSep 13, 2023 to Sep 22, 2023
- Individual RAUM · $118M to $99.3MSep 13, 2023 to Sep 22, 2023
- RAUM · $145M to $163MSep 13, 2023 to Sep 22, 2023
- Accounts · 656 to 705Jan 13, 2023 to Mar 15, 2023
- HNW clients · 77 to 13Jan 13, 2023 to Mar 15, 2023
- Individual clients · 225 to 690Jan 13, 2023 to Mar 15, 2023
- Discretionary RAUM · $134M to $145MJan 13, 2023 to Mar 15, 2023
Signals
5 dated events
- Glenn Stephan Peasley (President) no longer on Schedule A of K•••• P••••• • P•••••• F••••••••• I••• (listed 2023-01-13, absent 2023-03-15)Mar 15, 2023 · Control person left · inference
- Robert Jason Topor (Chief Compliance Officer) appeared on Schedule A of K•••• P••••• • P•••••• F••••••••• I•••Jun 30, 2021 · Control person joined · fact
- Hada Lettie Pivan (Chief Compliance Officer) no longer on Schedule A of K•••• P••••• • P•••••• F••••••••• I••• (listed 2012-06-06, absent 2021-06-30)Jun 30, 2021 · Control person left · inference
- Howard Gerald Klein (Board Member) no longer on Schedule A of K•••• P••••• • P•••••• F••••••••• I••• (listed 2012-06-06, absent 2021-06-30)Jun 30, 2021 · Control person left · inference
- K•••• P••••• • P•••••• F••••••••• I••• filed its initial SEC registration (Form ADV)Jun 30, 2021 · First SEC registration · fact
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
- Business phone
- 800-557-5461reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/3557297reportedpublic record, Form ADV, Sep 19, 2026
- Website
- INVESTTALK.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 800-557-5461reportedpublic record, Form ADV, May 6, 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
- $58.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026