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
B•••••••• C•••••• A•••••••• I•••
Latest filing Feb 3, 2026
First filing on the tape Feb 21, 2024 · 5 filings
SEC status approved since Mar 22, 2024
RAUM
$148M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
86%
$127M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$74.0M
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
5 filings and snapshots on the tape
RAUM$148M as of Feb 3, 2026
Feb 10, 2025$126M then
HNW client RAUM$123M as of Feb 3, 2026
Feb 10, 2025$97.9M then
State-registered IARs (5.B.3)1 as of Feb 3, 2026
Feb 10, 20251 then
Employees (5.A)2 as of Feb 3, 2026
Feb 10, 20251 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 3, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $74.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 14%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
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $30.7M, 59 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$123M83%
- Pension and profit-sharing plans$21.0M14%
- Individuals$4.0M2.7%
- Individual clients
- 15reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 66reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.7M for 59 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• D•••••• K•••Certified Financial Planner, Chartered Financial Consultant | Larkspur, Ca | Oct 31, 2003 | 30 y | 1 |
| M••••• S•••• | Larkspur, Ca | Jan 8, 2026 | 10 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
- C••••• L•••••• G•••• to R••• B•••• C•••••• M••••••••• L•Oct 30, 2017 · Other
Joined, latest
- K•••• D•••••• K••• from F••••••• S••••••••• I•••Oct 31, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• K••••• D•••••• · President/Chief Compliance Officercontrolsince 03/2009 · 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 |
|---|---|---|---|---|---|
| Larkspur, Ca · principal | 2 | 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
- account count collapseChange between filings · filing Feb 3, 2026accounts (Item 5.F.2.f) moved from 268.0 to 66.0 (-75.0%) between the annual amendments of 2025-02-10 and 2026-02-03; the peer median change was +5.0% (3687 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.6% percentile
What changed
consecutive filings, newest first
- Accounts · 268 to 66Sep 23, 2025 to Feb 3, 2026
- HNW clients · 38 to 48Sep 23, 2025 to Feb 3, 2026
- Individual clients · 36 to 15Sep 23, 2025 to Feb 3, 2026
- Assets in custody · $14.2M to $30.7MSep 23, 2025 to Feb 3, 2026
- Financial planning clients · 1-10 to 0Sep 23, 2025 to Feb 3, 2026
- Discretionary RAUM · $109M to $127MSep 23, 2025 to Feb 3, 2026
- HNW RAUM · $97.9M to $123MSep 23, 2025 to Feb 3, 2026
- Individual RAUM · $11.0M to $4.0MSep 23, 2025 to Feb 3, 2026
- Non-discretionary RAUM · $17.5M to $21.1MSep 23, 2025 to Feb 3, 2026
- Pension RAUM · $17.5M to $21.0MSep 23, 2025 to Feb 3, 2026
- RAUM · $126M to $148MSep 23, 2025 to Feb 3, 2026
- Advisory employees · 1 to 2Feb 10, 2025 to Jun 9, 2025
- Employees · 1 to 2Feb 10, 2025 to Jun 9, 2025
- Financial planning clients · 1-10 to 1-10Feb 10, 2025 to Jun 9, 2025
- Accounts · 276 to 268Feb 21, 2024 to Feb 10, 2025
- HNW clients · 48 to 38Feb 21, 2024 to Feb 10, 2025
- Individual clients · 34 to 36Feb 21, 2024 to Feb 10, 2025
- Assets in custody · $21.0M to $14.2MFeb 21, 2024 to Feb 10, 2025
- Financial planning clients · 0 to 1-10Feb 21, 2024 to Feb 10, 2025
- Discretionary RAUM · $99.4M to $109MFeb 21, 2024 to Feb 10, 2025
- HNW RAUM · $89.3M to $97.9MFeb 21, 2024 to Feb 10, 2025
- Individual RAUM · $10.1M to $11.0MFeb 21, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $20.3M to $17.5MFeb 21, 2024 to Feb 10, 2025
- Pension RAUM · $20.3M to $17.5MFeb 21, 2024 to Feb 10, 2025
- RAUM · $120M to $126MFeb 21, 2024 to Feb 10, 2025
Signals
1 dated events
- B•••••••• C•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Feb 21, 2024 · 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
- 415-381-7555reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-336-3301reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-381-7555reportedpublic record, Form ADV, Feb 3, 2026
- Contact form
- b•••••••••.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
- $74.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026