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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Former SEC-registered adviser

A• F•••••••• G••••

Former SEC-registered adviserIrvine, CaliforniaCRD 130338SEC 801-122138IAPD
Legal name A••••• C• K••••••••
Latest filing Aug 31, 2022
First filing on the tape Jul 21, 2021 · 5 filings
RAUM
$148M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
98%
$145M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$148M as of Aug 31, 2022
Jul 21, 2021$124M then
HNW client RAUM$58.2M as of Aug 31, 2022
Jul 21, 2021$26.5M then
State-registered IARs (5.B.3)4 as of Aug 31, 2022
Jul 21, 20214 then
Employees (5.A)9 as of Aug 31, 2022
Jul 21, 20215 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 31, 2022; every figure names its basis
RAUM per advisor
$37.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$320,348derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$87.1M59%
  • High-net-worth individuals$58.2M39%
  • Pension and profit-sharing plans$1.9M1.3%
  • Corporations and businesses$1.2M0.8%
Individual clients
231reported
HNW clients
25reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
463reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $86.6M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••••••• A•••••• C••••• · Sole Proprietor/Chief Compliance Officercontrol
      since 09/1983 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Tustin, CA2 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Wrap assets (manager) · unset to 86648107.0
      Jun 29, 2022 to Aug 31, 2022
    • Wrap assets (sponsor) · unset to 0.0
      Jun 29, 2022 to Aug 31, 2022
    • Accounts · 408 to 463
      Feb 1, 2022 to Jun 29, 2022
    • Advisory employees · 4 to 5
      Feb 1, 2022 to Jun 29, 2022
    • Corporate clients · unset to 5.0
      Feb 1, 2022 to Jun 29, 2022
    • HNW clients · 8 to 25
      Feb 1, 2022 to Jun 29, 2022
    • Individual clients · 241 to 231
      Feb 1, 2022 to Jun 29, 2022
    • Employees · 5 to 9
      Feb 1, 2022 to Jun 29, 2022
    • Discretionary RAUM · $114M to $139M
      Feb 1, 2022 to Jun 29, 2022
    • HNW RAUM · $26.5M to $58.2M
      Feb 1, 2022 to Jun 29, 2022
    • Individual RAUM · $94.3M to $87.1M
      Feb 1, 2022 to Jun 29, 2022
    • Non-discretionary RAUM · $10.1M to $9.2M
      Feb 1, 2022 to Jun 29, 2022
    • Pension RAUM · $1.8M to $1.9M
      Feb 1, 2022 to Jun 29, 2022
    • RAUM · $124M to $148M
      Feb 1, 2022 to Jun 29, 2022
    Signals
    6 dated events
    • C••••••••• J••• B••••••••• left A• F•••••••• G•••• for P•••••• A•••••• G••••• L•• (registered 2026-01-22)
      Dec 22, 2022 · a•••••• firm change · fact
    • A••••• C••••• K•••••••• left A• F•••••••• G•••• for P•••••• A•••••• G••••• L•• (registered 2022-09-27)
      Dec 22, 2022 · a•••••• firm change · fact
    • T•••• C•••••• H••••• left A• F•••••••• G•••• for P•••••• A•••••• G••••• L•• (registered 2022-08-04)
      Dec 22, 2022 · a•••••• firm change · fact
    • A• F•••••••• G••••'s a••••••s moved to P•••••• A•••••• G••••• L•• (Irvine, CA): 3 of 4 registered, on the same day
      Dec 22, 2022 · Firm absorbed (people side) · derived
    • C•••••••• L••• H•••• left A• F•••••••• G•••• for P•••••• A•••••• G••••• L•• (registered 2022-08-04)
      Dec 22, 2022 · a•••••• firm change · fact
    • A• F•••••••• G•••• filed its initial SEC registration (Form ADV)
      Jul 21, 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026