DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

K••••••••• • F•••••• I•••

Independent wealth managerSEC-registered· San Diego, Californiawebsite

Independent wealth manager, based in San Diego, California, reporting $305M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $305M
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +25%
Private clients: 89% of RAUM, $272M

Advisors (3)Advisor movement Where the RAUM sits

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +25% over the last fiscal year, to $305M.
2026-03-24
RAUM a year earlier $244MRAUM now $305M
7 published business contact points are on record, each with its source.
Contact points 7

Every filed figure, and the identifiersCRD 117811 · SEC 801-114268 · 20 filingsShow

CRD 117811SEC 801-114268First filing on the tape Oct 9, 2018, latest Mar 24, 2026SEC status approved since Nov 9, 2018IAPD

RAUM

$305M

reported, Item 5.F

Discretionary

87%

of RAUM

Private clients

89%

$272M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$102M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$305M as of Mar 24, 2026

Mar 12, 2019$100M then

HNW client RAUM$212M as of Mar 24, 2026

Mar 12, 2019$50.7M then

State-registered IARs (5.B.3)3 as of Mar 24, 2026

Mar 12, 20192 then

Employees (5.A)6 as of Mar 24, 2026

Mar 12, 20194 then

Private funds: no history

RAUM +25% over the last fiscal year+20% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Mar 24, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $102MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 146derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $690,222derivedRAUM over accounts (5.F.2.f)
Discretionary: 87%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +25%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +11%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program: $558MreportedItem 5.I
Custody: $279M, 438 clientsreportedItem 9.A
Ownership: controlled by a public reporting companyderived
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)
has custody of client cash or bank accounts (9.A.1.a)
controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$212M69%
Individuals$60.3M20%
Pension and profit-sharing plans$31.2M10%
Charitable organizations$1.7M0.5%

Individual clients: 314reported
HNW clients: 125reported
Pension plan clients: 15reported
Charitable clients: 3reported
Accounts: 442reported
Financial planning clients: 0reported
Wrap fee programs: $279M sponsored, $279M managedreported
Custody of client assets: $279M for 438 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived

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

none on the tape

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the 10 longest tenured

Name	Branch	Here since	In industry	Prior firms
G•••• K•••••••••Certified Financial Planner	Phoenix, Az	Oct 25, 2001	29 y	1
K••••••• R••••• F•••••Certified Financial Planner	San Diego, Ca	Oct 25, 2001	29 y	1
J•••• L•••• B••••	San Diego, Ca	Dec 21, 2021	29 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••••• K•••••••• R••••• · Presidentcontrol
since 04/2001 · owns 50% to 75%
K••••••••• G•••• · Secretary & Chief Compliance Officercontrol
since 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
Phoenix, Az	3	0	0
San Diego, Ca · principal	3	0	0
Evergreen, Co	2	0	0

Offices

Schedule D 1.F, the 25 largest

Evergreen, CO1 employees
Phoenix, AZ1 employees

What changed

consecutive filings, newest first

Accounts · 413 to 442
Feb 26, 2025 to Mar 24, 2026
Charity clients · 4 to 3
Feb 26, 2025 to Mar 24, 2026
HNW clients · 120 to 125
Feb 26, 2025 to Mar 24, 2026
Individual clients · 274 to 314
Feb 26, 2025 to Mar 24, 2026
Assets in custody · $223M to $279M
Feb 26, 2025 to Mar 24, 2026

Full history · 80 changes

Discretionary RAUM · $212M to $266M
Feb 26, 2025 to Mar 24, 2026
HNW RAUM · $180M to $212M
Feb 26, 2025 to Mar 24, 2026
Individual RAUM · $35.5M to $60.3M
Feb 26, 2025 to Mar 24, 2026
Non-discretionary RAUM · $32.6M to $38.9M
Feb 26, 2025 to Mar 24, 2026
Pension RAUM · $25.9M to $31.2M
Feb 26, 2025 to Mar 24, 2026
RAUM · $244M to $305M
Feb 26, 2025 to Mar 24, 2026
Wrap assets (manager) · $223M to $279M
Feb 26, 2025 to Mar 24, 2026
Wrap assets (sponsor) · $223M to $279M
Feb 26, 2025 to Mar 24, 2026
Accounts · 1,084 to 413
Mar 19, 2024 to Feb 26, 2025
Charity clients · 3 to 4
Mar 19, 2024 to Feb 26, 2025
HNW clients · 97 to 120
Mar 19, 2024 to Feb 26, 2025
Individual clients · 281 to 274
Mar 19, 2024 to Feb 26, 2025
Pension plan clients · 16 to 15
Mar 19, 2024 to Feb 26, 2025
Assets in custody · $194M to $223M
Mar 19, 2024 to Feb 26, 2025
Financial planning clients · 0 to 0
Mar 19, 2024 to Feb 26, 2025
Other offices · 2 to 1
Mar 19, 2024 to Feb 26, 2025
Discretionary RAUM · $181M to $212M
Mar 19, 2024 to Feb 26, 2025
HNW RAUM · $143M to $180M
Mar 19, 2024 to Feb 26, 2025
Individual RAUM · $45.8M to $35.5M
Mar 19, 2024 to Feb 26, 2025
Non-discretionary RAUM · $30.7M to $32.6M
Mar 19, 2024 to Feb 26, 2025
Pension RAUM · $21.6M to $25.9M
Mar 19, 2024 to Feb 26, 2025
RAUM · $211M to $244M
Mar 19, 2024 to Feb 26, 2025
Wrap assets (manager) · $194M to $223M
Mar 19, 2024 to Feb 26, 2025
Wrap assets (sponsor) · $194M to $223M
Mar 19, 2024 to Feb 26, 2025
Accounts · 1,121 to 1,084
Feb 22, 2023 to Mar 19, 2024
Charity clients · 4 to 3
Feb 22, 2023 to Mar 19, 2024
HNW clients · 91 to 97
Feb 22, 2023 to Mar 19, 2024
Individual clients · 287 to 281
Feb 22, 2023 to Mar 19, 2024
Pension plan clients · 5 to 16
Feb 22, 2023 to Mar 19, 2024
Assets in custody · $160M to $194M
Feb 22, 2023 to Mar 19, 2024
Discretionary RAUM · $150M to $181M
Feb 22, 2023 to Mar 19, 2024
HNW RAUM · $113M to $143M
Feb 22, 2023 to Mar 19, 2024
Individual RAUM · $47.6M to $45.8M
Feb 22, 2023 to Mar 19, 2024
Non-discretionary RAUM · $24.6M to $30.7M
Feb 22, 2023 to Mar 19, 2024
Pension RAUM · $12.9M to $21.6M
Feb 22, 2023 to Mar 19, 2024
RAUM · $175M to $211M
Feb 22, 2023 to Mar 19, 2024
Wrap assets (manager) · $160M to $194M
Feb 22, 2023 to Mar 19, 2024
Wrap assets (sponsor) · $160M to $194M
Feb 22, 2023 to Mar 19, 2024
Accounts · 1,154 to 1,121
Aug 1, 2022 to Feb 22, 2023
Charity clients · 3 to 4
Aug 1, 2022 to Feb 22, 2023
Corporate clients · 0.0 to unset
Aug 1, 2022 to Feb 22, 2023
HNW clients · 95 to 91
Aug 1, 2022 to Feb 22, 2023
Individual clients · 276 to 287
Aug 1, 2022 to Feb 22, 2023
Assets in custody · $187M to $160M
Aug 1, 2022 to Feb 22, 2023
Employees · 5 to 6
Aug 1, 2022 to Feb 22, 2023
Financial planning clients · 1-10 to 0
Aug 1, 2022 to Feb 22, 2023
Discretionary RAUM · $172M to $150M
Aug 1, 2022 to Feb 22, 2023
HNW RAUM · $132M to $113M
Aug 1, 2022 to Feb 22, 2023
Individual RAUM · $53.3M to $47.6M
Aug 1, 2022 to Feb 22, 2023
Non-discretionary RAUM · $33.6M to $24.6M
Aug 1, 2022 to Feb 22, 2023
Pension RAUM · $19.2M to $12.9M
Aug 1, 2022 to Feb 22, 2023
RAUM · $206M to $175M
Aug 1, 2022 to Feb 22, 2023
Wrap assets (manager) · $187M to $160M
Aug 1, 2022 to Feb 22, 2023
Wrap assets (sponsor) · $187M to $160M
Aug 1, 2022 to Feb 22, 2023
Accounts · 892 to 1,154
Mar 29, 2021 to Mar 3, 2022
Charity clients · 4 to 3
Mar 29, 2021 to Mar 3, 2022
Corporate clients · 6 to 0
Mar 29, 2021 to Mar 3, 2022
HNW clients · 64 to 95
Mar 29, 2021 to Mar 3, 2022
Individual clients · 277 to 276
Mar 29, 2021 to Mar 3, 2022
Pension plan clients · unset to 5.0
Mar 29, 2021 to Mar 3, 2022
Assets in custody · $159M to $187M
Mar 29, 2021 to Mar 3, 2022
Discretionary RAUM · $148M to $172M
Mar 29, 2021 to Mar 3, 2022
HNW RAUM · $105M to $132M
Mar 29, 2021 to Mar 3, 2022
Individual RAUM · $50.7M to $53.3M
Mar 29, 2021 to Mar 3, 2022
Non-discretionary RAUM · $11.0M to $33.6M
Mar 29, 2021 to Mar 3, 2022
Pension RAUM · unset to 19233670.0
Mar 29, 2021 to Mar 3, 2022
RAUM · $159M to $206M
Mar 29, 2021 to Mar 3, 2022
Wrap assets (manager) · $0 to $187M
Mar 29, 2021 to Mar 3, 2022
Wrap assets (sponsor) · $0 to $187M
Mar 29, 2021 to Mar 3, 2022
Accounts · 839 to 892
Sep 9, 2020 to Mar 29, 2021
Advisory employees · 2 to 3
Sep 9, 2020 to Mar 29, 2021
Charity clients · 3 to 4
Sep 9, 2020 to Mar 29, 2021
Corporate clients · 3 to 6
Sep 9, 2020 to Mar 29, 2021
HNW clients · 69 to 64
Sep 9, 2020 to Mar 29, 2021
Individual clients · 257 to 277
Sep 9, 2020 to Mar 29, 2021

Signals

2 dated events

••• Locked
Mar 24, 2026 · ria office closed · derived
••• Locked
Oct 9, 2018 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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: $102Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026