DFX Intelligence
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B•••• H••• C•••••• P•••••••• L••
Independent wealth manager, based in San Francisco, California, reporting $67.7M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $67.7M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +31%
- Private clients
- 51% of RAUM, $34.3M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $51.8MRAUM now $67.7M
- private-client share of RAUM 0.506784824042035
- Contact points 6
Every filed figure, and the identifiersCRD 118291 · SEC 801-118997 · 10 filingsShowHide
CRD 118291SEC 801-118997First filing on the tape Jun 1, 2020, latest Mar 27, 2026SEC status approved since Jul 1, 2020IAPD
RAUM
$67.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
51%
$34.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$67.7M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$67.7M as of Mar 27, 2026
Mar 11, 2021$64.1M then
HNW client RAUM$34.3M as of Mar 27, 2026
Mar 11, 2021$38.8M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 11, 20211 then
Employees (5.A)1 as of Mar 27, 2026
Mar 11, 20211 then
Private funds: no history
RAUM +31% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $67.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $33.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$34.3M51%
- Investment companies$33.4M49%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.51 fund_share=0.49 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• •••• K•• | San Francisco, Ca | Dec 6, 1999 | 34 y | 1 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••• S••••••• •••• · Managing Membercontrolsince 03/2013 · owns 75% or more
- C••••• A•••••• P••• · Chief Compliance Officersince 04/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list B•••• H••• C•••••• P•••••••• L•• as a related person
- 284778 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Mar 27, 2026private-client share of RAUM moved from 34.0% to 51.0% between the annual amendments of 2025-03-28 and 2026-03-27peers: independent wealth managers, under $100M (708)
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 34.0% to 51.0% between the annual amendments of 2025-03-28 and 2026-03-27peers: independent wealth managers, under $100M (708)
- RAUM up 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $51,774,761 to $67,670,878 (+31.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was +8.0% (219 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 2Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $51.8M to $67.7MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $17.8M to $34.3MMar 28, 2025 to Mar 27, 2026
- RAUM · $51.8M to $67.7MMar 28, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $67.9M to $51.8MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $28.9M to $17.8MMar 27, 2024 to Mar 28, 2025
- RAUM · $67.9M to $51.8MMar 27, 2024 to Mar 28, 2025
- Accounts · 7 to 3Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $37.3M to $67.9MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $23.0M to $28.9MMar 31, 2023 to Mar 27, 2024
- RAUM · $37.3M to $67.9MMar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $73.7M to $37.3MMar 10, 2022 to Mar 31, 2023
- HNW RAUM · $45.2M to $23.0MMar 10, 2022 to Mar 31, 2023
- RAUM · $73.7M to $37.3MMar 10, 2022 to Mar 31, 2023
- Accounts · 5 to 7Mar 11, 2021 to Mar 10, 2022
- HQ city · unset to SAN FRANCISCOMar 11, 2021 to Mar 10, 2022
- HQ state · unset to CAMar 11, 2021 to Mar 10, 2022
- Other offices · 1 to 0Mar 11, 2021 to Mar 10, 2022
- Discretionary RAUM · $64.1M to $73.7MMar 11, 2021 to Mar 10, 2022
- HNW RAUM · $38.8M to $45.2MMar 11, 2021 to Mar 10, 2022
- RAUM · $64.1M to $73.7MMar 11, 2021 to Mar 10, 2022
- Accounts · 3 to 5Jul 7, 2020 to Mar 11, 2021
- Discretionary RAUM · $27.1M to $64.1MJul 7, 2020 to Mar 11, 2021
- HNW RAUM · $21.9M to $38.8MJul 7, 2020 to Mar 11, 2021
- RAUM · $27.1M to $64.1MJul 7, 2020 to Mar 11, 2021
Signals
1 dated events
- ••• LockedJun 1, 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.
How to reach
public business contact points only, each with its source
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- $67.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026