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

T•••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserLarkspur, CaliforniaCRD 113010SEC 801-118106IAPD
Latest filing Apr 23, 2021
First filing on the tape Nov 21, 2011 · 20 filings
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$186M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$187M as of Apr 23, 2021
May 4, 2020$115M then
HNW client RAUM$130M as of Apr 23, 2021
May 4, 2020$83.7M then
State-registered IARs (5.B.3)2 as of Apr 23, 2021
May 4, 20202 then
Employees (5.A)2 as of Apr 23, 2021
May 4, 20202 then
Private funds: no history
RAUM +62% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 23, 2021; every figure names its basis
RAUM per advisor
$93.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
78derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+62%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-29%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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
  • High-net-worth individuals$130M69%
  • Individuals$56.5M30%
  • Charitable organizations$735,0000.4%
Individual clients
106reported
HNW clients
49reported
Pension plan clients
n/areported
Charitable clients
4reported
Accounts
159reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
none on the tape
    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
      • K•••••• L•••••••• A•••• · Ceo/Presidentcontrol
        since 03/1980 · owns less than 5%
      • L•••• G•••••• I•••••• · Ccocontrol
        since 10/1997 · owns less than 5%
      • K•••••• L•••••••• A•••• · Indirect Owner, Presidentcontrol
        since 08/1981 · owns 50% to 75% of K• F•••••••• S•••••••• I•••
      • L•••• G•••••• I•••••• · Indirect Owner, Ccocontrol
        since 10/1997 · owns 50% to 75% of K• F•••••••• S•••••••• I•••
      Entity owners
      • K• F•••••••• S•••••••• I••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 254 to 159
        Mar 16, 2021 to Apr 23, 2021
      • HNW clients · 48 to 49
        Mar 16, 2021 to Apr 23, 2021
      • Individual clients · 105 to 106
        Mar 16, 2021 to Apr 23, 2021
      • Discretionary RAUM · $173M to $186M
        Mar 16, 2021 to Apr 23, 2021
      • HNW RAUM · $122M to $130M
        Mar 16, 2021 to Apr 23, 2021
      • Individual RAUM · $55.5M to $56.5M
        Mar 16, 2021 to Apr 23, 2021
      • Non-discretionary RAUM · $4.7M to $735,000
        Mar 16, 2021 to Apr 23, 2021
      • RAUM · $178M to $187M
        Mar 16, 2021 to Apr 23, 2021
      • Accounts · 221 to 254
        Sep 30, 2020 to Feb 2, 2021
      • Corporate clients · 0.0 to unset
        Sep 30, 2020 to Feb 2, 2021
      • HNW clients · 34 to 48
        Sep 30, 2020 to Feb 2, 2021
      • Individual clients · 183 to 105
        Sep 30, 2020 to Feb 2, 2021
      • Pension plan clients · 0.0 to unset
        Sep 30, 2020 to Feb 2, 2021
      • Pooled vehicle clients · 0.0 to unset
        Sep 30, 2020 to Feb 2, 2021
      • Discretionary RAUM · $114M to $173M
        Sep 30, 2020 to Feb 2, 2021
      • HNW RAUM · $83.7M to $122M
        Sep 30, 2020 to Feb 2, 2021
      • Individual RAUM · $30.3M to $55.5M
        Sep 30, 2020 to Feb 2, 2021
      • Non-discretionary RAUM · $734,000 to $4.7M
        Sep 30, 2020 to Feb 2, 2021
      • Pension RAUM · 0.0 to unset
        Sep 30, 2020 to Feb 2, 2021
      • Pooled vehicle RAUM · 0.0 to unset
        Sep 30, 2020 to Feb 2, 2021
      • RAUM · $115M to $178M
        Sep 30, 2020 to Feb 2, 2021
      • Accounts · 107 to 221
        Jun 28, 2012 to Jan 22, 2020
      • Advisory employees · unset to 2.0
        Jun 28, 2012 to Jan 22, 2020
      • BD registered reps · unset to 2.0
        Jun 28, 2012 to Jan 22, 2020
      • Charity clients · unset to 4.0
        Jun 28, 2012 to Jan 22, 2020
      • Corporate clients · unset to 0.0
        Jun 28, 2012 to Jan 22, 2020
      • HNW clients · unset to 34.0
        Jun 28, 2012 to Jan 22, 2020
      • Individual clients · unset to 183.0
        Jun 28, 2012 to Jan 22, 2020
      • Pension plan clients · unset to 0.0
        Jun 28, 2012 to Jan 22, 2020
      • Pooled vehicle clients · unset to 0.0
        Jun 28, 2012 to Jan 22, 2020
      • Employees · unset to 2.0
        Jun 28, 2012 to Jan 22, 2020
      • Insurance-licensed employees · 2 to 0
        Jun 28, 2012 to Jan 22, 2020
      • HQ city · SAN BRUNO to LARKSPUR
        Jun 28, 2012 to Jan 22, 2020
      • State-registered IARs · 0 to 2
        Jun 28, 2012 to Jan 22, 2020
      • Other offices · unset to 0.0
        Jun 28, 2012 to Jan 22, 2020
      • Discretionary RAUM · $850,000 to $114M
        Jun 28, 2012 to Jan 22, 2020
      • HNW RAUM · unset to 83700000.0
        Jun 28, 2012 to Jan 22, 2020
      • Individual RAUM · unset to 30300000.0
        Jun 28, 2012 to Jan 22, 2020
      • Non-discretionary RAUM · $39.3M to $734,000
        Jun 28, 2012 to Jan 22, 2020
      • Pension RAUM · unset to 0.0
        Jun 28, 2012 to Jan 22, 2020
      Signals
      1 dated events
      • T•••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
        Jan 22, 2020 · 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.
      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