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••••••••• M••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape May 26, 2021 · 9 filings
SEC status approved since Jun 29, 2021
RAUM
$241M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$241M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$48.1M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$241M as of Mar 24, 2026
Apr 1, 2022$116M then
HNW client RAUM$111M as of Mar 24, 2026
Apr 1, 2022$69.6M then
State-registered IARs (5.B.3)6 as of Mar 24, 2026
Apr 1, 20224 then
Employees (5.A)9 as of Mar 24, 2026
Apr 1, 20229 then
Private funds: no history
RAUM +9.0% over the last fiscal year+27% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 24, 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
- $48.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $503,189derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assets, performance-basedreportedItem 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
- 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$129M54%
- High-net-worth individuals$111M46%
- Individual clients
- 158reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 478reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• D•• D•••• | Los Gatos, Ca | Jan 31, 2000 | 28 y | 0 |
| M••••••••• S• B••• | Los Gatos, Ca | Jun 25, 2009 | 17 y | 0 |
| D••••• M•••••• K••• | Los Gatos, Ca | Apr 13, 2018 | 43 y | 0 |
| R•••• R•••••• | Los Gatos, Ca | Feb 6, 2024 | 12 y | 0 |
| E••••• T•••• E•••••••• | Los Gatos, Ca | Nov 4, 2025 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- S•••• G•••• B••••••• to H••••••• C•••••• M••••••••• I•••Mar 29, 2004 · Other
Joined, latest
- E••••• T•••• E•••••••• from T•• B••••••• G•••• I••Nov 4, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• M••••••••• S• · Chief Operating Officer, Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- K•••• D••••• · Ownercontrolsince 12/1982 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Los Gatos, Ca · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 24, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $220,633,006 to $240,524,560, advisors 5 to 6, private clients 262 to 191, offices 0 to 0 (2025-03-28 to 2026-03-24)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 459 to 478Mar 28, 2025 to Mar 24, 2026
- HNW clients · 27 to 33Mar 28, 2025 to Mar 24, 2026
- Individual clients · 235 to 158Mar 28, 2025 to Mar 24, 2026
- State-registered IARs · 5 to 6Mar 28, 2025 to Mar 24, 2026
- Discretionary RAUM · $221M to $241MMar 28, 2025 to Mar 24, 2026
- HNW RAUM · $99.6M to $111MMar 28, 2025 to Mar 24, 2026
- Individual RAUM · $121M to $129MMar 28, 2025 to Mar 24, 2026
- RAUM · $221M to $241MMar 28, 2025 to Mar 24, 2026
- Accounts · 370 to 459Sep 26, 2024 to Mar 28, 2025
- Advisory employees · 4 to 6Sep 26, 2024 to Mar 28, 2025
- HNW clients · 30 to 27Sep 26, 2024 to Mar 28, 2025
- Individual clients · 126 to 235Sep 26, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Sep 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $130M to $221MSep 26, 2024 to Mar 28, 2025
- HNW RAUM · $86.3M to $99.6MSep 26, 2024 to Mar 28, 2025
- Individual RAUM · $43.5M to $121MSep 26, 2024 to Mar 28, 2025
- RAUM · $130M to $221MSep 26, 2024 to Mar 28, 2025
- Accounts · 167 to 370Mar 31, 2023 to Mar 27, 2024
- HNW clients · 26 to 30Mar 31, 2023 to Mar 27, 2024
- Individual clients · 141 to 126Mar 31, 2023 to Mar 27, 2024
- Employees · 7 to 9Mar 31, 2023 to Mar 27, 2024
- Financial planning clients · 1-10 to 0Mar 31, 2023 to Mar 27, 2024
- State-registered IARs · 4 to 5Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $118M to $130MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $65.6M to $86.3MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $52.6M to $43.5MMar 31, 2023 to Mar 27, 2024
- RAUM · $118M to $130MMar 31, 2023 to Mar 27, 2024
- Accounts · 157 to 167May 2, 2022 to Mar 31, 2023
- Advisory activities · 1 to 2May 2, 2022 to Mar 31, 2023
- HNW clients · 29 to 26May 2, 2022 to Mar 31, 2023
- Individual clients · 128 to 141May 2, 2022 to Mar 31, 2023
- Employees · 9 to 7May 2, 2022 to Mar 31, 2023
- Financial planning clients · unset to 1-10May 2, 2022 to Mar 31, 2023
- Discretionary RAUM · $116M to $118MMay 2, 2022 to Mar 31, 2023
- HNW RAUM · $69.6M to $65.6MMay 2, 2022 to Mar 31, 2023
- Individual RAUM · $46.5M to $52.6MMay 2, 2022 to Mar 31, 2023
- RAUM · $116M to $118MMay 2, 2022 to Mar 31, 2023
- Accounts · 158 to 157Jul 20, 2021 to Apr 1, 2022
- Advisory activities · 2 to 1Jul 20, 2021 to Apr 1, 2022
- HNW clients · 30 to 29Jul 20, 2021 to Apr 1, 2022
Signals
1 dated events
- K••• I••••••••• M••••••••• I••• filed its initial SEC registration (Form ADV)May 26, 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
- 408-358-5260reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 408-358-5263reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 408-358-5263reportedpublic record, Form ADV, Mar 24, 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
- $48.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026