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••••• I•••••••••
Legal name K••••• I••••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Feb 14, 2012 · 28 filings
SEC status approved since Mar 7, 2007
RAUM
$238M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$238M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$79.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$238M as of Feb 12, 2026
Feb 14, 2012$94.0M then
HNW client RAUM$162M as of Feb 12, 2026
Feb 14, 2018$37.0M then
State-registered IARs (5.B.3)3 as of Feb 12, 2026
Feb 14, 20120 then
Employees (5.A)3 as of Feb 12, 2026
Feb 7, 20133 then
Private funds: no history
RAUM +22% over the last fiscal year+18% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Sep 9, 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
- RAUM per advisor
- $79.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $614,874derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%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
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +44%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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
- is an insurance broker or agent (6.A.6)
- 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$162M68%
- Individuals$76.3M32%
- Individual clients
- 167reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 387reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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 |
|---|---|---|---|---|
| F•••• L••••••• S•••• | Del Mar, Ca | Apr 15, 2025 | 26 y | 3 |
| C•••• P•••••• K••••• | Del Mar, Ca | Apr 15, 2025 | 41 y | 3 |
| S••• P•••••• O•••• | Del Mar, Ca | Apr 15, 2025 | 26 y | 3 |
| J•••• J••• B•••••••• | Del Mar, Ca | Sep 18, 2026 | 25 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
- F•••• L••••••• S•••• from L•• F•••••••• L••Mar 1, 2006 · Other
- C•••• P•••••• K••••• from L•• F•••••••• L••Feb 24, 2006 · Other
- S••• P•••••• O•••• from L•• F•••••••• L••Nov 1, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• C••••• P•••••• · Cio/Chief Compliance Officercontrolsince 07/1996 · owns less than 5%
- K•••••• C••••• E• · Trusteecontrolsince 09/1994 · owns 50% to 75% of K••••• Family Trust Dated 09/22/1994
- K•••••• C••••• P•••••• · Trusteecontrolsince 09/1994 · owns 50% to 75% of K••••• Family Trust Dated 09/22/1994
Entity owners
- K••••• F••••• T•••• 0••••••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••• L••••••• S••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Del Mar, Ca | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Feb 12, 2026 to Sep 9, 2026
- HQ city · to unsetFeb 12, 2026 to Sep 9, 2026
- HQ state · to unsetFeb 12, 2026 to Sep 9, 2026
- Other offices · 0 to 1Feb 12, 2026 to Sep 9, 2026
- Succession · false to unsetFeb 12, 2026 to Sep 9, 2026
- Accounts · 342 to 387Apr 15, 2025 to Feb 12, 2026
- BD registered reps · 1 to 0Apr 15, 2025 to Feb 12, 2026
- HNW clients · 25 to 49Apr 15, 2025 to Feb 12, 2026
- Individual clients · 125 to 167Apr 15, 2025 to Feb 12, 2026
- Insurance-licensed employees · 3 to 0Apr 15, 2025 to Feb 12, 2026
- Discretionary RAUM · $176M to $216MApr 15, 2025 to Feb 12, 2026
- HNW RAUM · $140M to $162MApr 15, 2025 to Feb 12, 2026
- Individual RAUM · $55.2M to $76.3MApr 15, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $19.7M to $21.5MApr 15, 2025 to Feb 12, 2026
- RAUM · $196M to $238MApr 15, 2025 to Feb 12, 2026
- Accounts · 330 to 342Sep 5, 2024 to Apr 15, 2025
- Individual clients · 120 to 125Sep 5, 2024 to Apr 15, 2025
- Financial planning clients · 26-50 to 11-25Sep 5, 2024 to Apr 15, 2025
- HQ city · unset to Sep 5, 2024 to Apr 15, 2025
- HQ state · unset to Sep 5, 2024 to Apr 15, 2025
- Discretionary RAUM · $158M to $176MSep 5, 2024 to Apr 15, 2025
- HNW RAUM · $117M to $140MSep 5, 2024 to Apr 15, 2025
- Individual RAUM · $45.9M to $55.2MSep 5, 2024 to Apr 15, 2025
- Non-discretionary RAUM · $4.6M to $19.7MSep 5, 2024 to Apr 15, 2025
- RAUM · $163M to $196MSep 5, 2024 to Apr 15, 2025
- Accounts · 351 to 330Mar 15, 2023 to Mar 7, 2024
- Advisory activities · 3 to 4Mar 15, 2023 to Mar 7, 2024
- HNW clients · 42 to 25Mar 15, 2023 to Mar 7, 2024
- Individual clients · 102 to 120Mar 15, 2023 to Mar 7, 2024
- Discretionary RAUM · $131M to $158MMar 15, 2023 to Mar 7, 2024
- HNW RAUM · $119M to $117MMar 15, 2023 to Mar 7, 2024
- Individual RAUM · $24.4M to $45.9MMar 15, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $12.1M to $4.6MMar 15, 2023 to Mar 7, 2024
- RAUM · $143M to $163MMar 15, 2023 to Mar 7, 2024
- Accounts · 349 to 351Jul 6, 2022 to Mar 15, 2023
- HNW clients · 39 to 42Jul 6, 2022 to Mar 15, 2023
- Individual clients · 91 to 102Jul 6, 2022 to Mar 15, 2023
- Discretionary RAUM · $125M to $131MJul 6, 2022 to Mar 15, 2023
- HNW RAUM · $97.6M to $119MJul 6, 2022 to Mar 15, 2023
- Individual RAUM · $37.4M to $24.4MJul 6, 2022 to Mar 15, 2023
Signals
2 dated events
- J•••• J••• B•••••••• registered as an investment adviser representative at K••••• I•••••••••Sep 18, 2026 · Advisor registered · fact
- K••••• I••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 9, 2017 · Succession (Item 4) · 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
- 858-350-1010reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- K•••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 858-350-1010reportedpublic record, Form ADV, Sep 9, 2026
- Contact form
- k•••••••••.comreportedpublished 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
- $79.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026