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
N••••• C•••••• L••
Latest filing Mar 23, 2018
First filing on the tape Mar 1, 2012 · 15 filings
RAUM
$184M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
59%
$109M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$184M as of Mar 23, 2018
Mar 1, 2012$142M then
HNW client RAUM: $27.9M
State-registered IARs (5.B.3)4 as of Mar 23, 2018
Mar 1, 20120 then
Employees (5.A)4 as of Mar 23, 2018
Mar 1, 20132 then
Private funds: no history
RAUM +12% over the last fiscal year+2.4% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 23, 2018; every figure names its basis
- RAUM per advisor
- $45.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%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
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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$81.2M44%
- Corporations and businesses$74.4M41%
- High-net-worth individuals$27.9M15%
- Individual clients
- 28reported
- HNW clients
- 15reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 75reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- R••••• K••••••• C••• to S••••••••• A•••• M••••••••• G•••• L••Jan 25, 2019 · RIA to RIA
- A••••••• I••••••• C••• to S••••••••• A•••• M••••••••• G•••• L••Jan 25, 2019 · RIA to RIA
- C••••••••• K•••• R••••• to S••••••••• A•••• M••••••••• G•••• L••Jan 25, 2019 · RIA to RIA
Joined, latest
- R••••• K••••••• C••• from C••• A•••• M••••••••• L••Mar 1, 2016 · Other
- A••••••• I••••••• C••• from B•••••• I••••••••• P•••••••• L•Aug 28, 2013 · Other
- C••••••••• K•••• R••••• from B•••••• I••••••••• P•••••••• L•Apr 12, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for S••••••••• A•••• M••••••••• G•••• L••Jan 25, 2019 · La Jolla, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• A•••••••• I••••••• · Manager, Member, Membership Class-2, As Trustee Of C•••/Huang Revocable Trust Uad February 28, 2002controlsince 08/2013 · owns 25% to 50%
- C•••• R•••••• K••••••• · Manager, Member, Membership Class-2controlsince 01/2016 · owns 25% to 50%
- P•••••• V••••••• G•••••• · Manager, Member, Membership Class-2controlsince 01/2016 · owns 25% to 50%
- R•••••• C••••••••• K•••• · Manager, Member, Membership Class-2, As Trustee Of Browne-R••••• Family Trust Dated October 5, 1999controlsince 08/2013 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 71 to 75Aug 2, 2017 to Mar 23, 2018
- Charity clients · unset to 0.0Aug 2, 2017 to Mar 23, 2018
- Corporate clients · unset to 3.0Aug 2, 2017 to Mar 23, 2018
- HNW clients · unset to 15.0Aug 2, 2017 to Mar 23, 2018
- Individual clients · unset to 28.0Aug 2, 2017 to Mar 23, 2018
- Pension plan clients · unset to 0.0Aug 2, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 0.0Aug 2, 2017 to Mar 23, 2018
- Other offices · unset to 1.0Aug 2, 2017 to Mar 23, 2018
- Discretionary RAUM · $158M to $177MAug 2, 2017 to Mar 23, 2018
- HNW RAUM · unset to 27871000.0Aug 2, 2017 to Mar 23, 2018
- Individual RAUM · unset to 81249000.0Aug 2, 2017 to Mar 23, 2018
- Non-discretionary RAUM · $4.9M to $6.4MAug 2, 2017 to Mar 23, 2018
- Pension RAUM · unset to 0.0Aug 2, 2017 to Mar 23, 2018
- Pooled vehicle RAUM · unset to 0.0Aug 2, 2017 to Mar 23, 2018
- RAUM · $163M to $184MAug 2, 2017 to Mar 23, 2018
- Accounts · 58 to 71Mar 24, 2016 to Mar 27, 2017
- Discretionary RAUM · $162M to $158MMar 24, 2016 to Mar 27, 2017
- Non-discretionary RAUM · $4.6M to $4.9MMar 24, 2016 to Mar 27, 2017
- RAUM · $167M to $163MMar 24, 2016 to Mar 27, 2017
- Accounts · 57 to 58Mar 30, 2015 to Mar 24, 2016
- Discretionary RAUM · $167M to $162MMar 30, 2015 to Mar 24, 2016
- Non-discretionary RAUM · $4.3M to $4.6MMar 30, 2015 to Mar 24, 2016
- RAUM · $171M to $167MMar 30, 2015 to Mar 24, 2016
- Accounts · 53 to 57Nov 18, 2014 to Mar 30, 2015
- Discretionary RAUM · $155M to $167MNov 18, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $4.1M to $4.3MNov 18, 2014 to Mar 30, 2015
- RAUM · $159M to $171MNov 18, 2014 to Mar 30, 2015
- Accounts · 54 to 53Sep 16, 2013 to Mar 31, 2014
- Advisory employees · 3 to 4Sep 16, 2013 to Mar 31, 2014
- Employees · 3 to 4Sep 16, 2013 to Mar 31, 2014
- State-registered IARs · 3 to 4Sep 16, 2013 to Mar 31, 2014
- Discretionary RAUM · $159M to $155MSep 16, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $3.5M to $4.1MSep 16, 2013 to Mar 31, 2014
- RAUM · $162M to $159MSep 16, 2013 to Mar 31, 2014
- Advisory employees · 2 to 3Mar 1, 2013 to Aug 20, 2013
- Employees · 2 to 3Mar 1, 2013 to Aug 20, 2013
- State-registered IARs · 2 to 3Mar 1, 2013 to Aug 20, 2013
- Discretionary RAUM · $165M to $159MMar 1, 2013 to Aug 20, 2013
- Non-discretionary RAUM · $3.3M to $3.5MMar 1, 2013 to Aug 20, 2013
- RAUM · $168M to $162MMar 1, 2013 to Aug 20, 2013
Signals
No event on the tape.
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