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

P••••••• D•••• A•••• M••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 134775SEC 801-69722IAPD
Latest filing Jun 12, 2012
First filing on the tape Apr 3, 2012 · 4 filings
RAUM
$20.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$6.7M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$20.0M as of Jun 12, 2012
Apr 3, 2012$20.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 12, 2012; every figure names its basis
RAUM per advisor
$6.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$133,333derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
1.0derived3 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
150reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
H•• J•• C••Los Angeles, CaJun 15, 201126 y4
A••• K••Chartered Financial AnalystLos Angeles, CaJan 1, 202533 y3
D••••• D••• Y•••• K••Los Angeles, CaJan 1, 202628 y0
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••• A••• · Elected Manager, Ciocontrol
    since 12/2010 · owns 10% to 25%
  • K••• D•••••• D••• Y•••• · Ceo, Membercontrol
    since 12/2010 · owns 25% to 50%
  • K••• H••••• H••• W•••• · Chief Compliance Officercontrol
    since 12/2010 · owns 25% to 50%
  • K••• A••• · Chief Investment Officercontrol
    since 12/2010 · owns 25% to 50% of A• F•••••••• H•••••••• I•••
  • K••• D•••••• D••• Y•••• · Ceocontrol
    since 12/2010 · owns 50% to 75% of S•• C•••••• L••
  • K••• H••••• H••• W•••• · Ccocontrol
    since 12/2010 · owns 50% to 75% of S•• C•••••• L••
Entity owners
  • A• F•••••••• H•••••••• I••• · Member
    direct · owns 25% to 50%
  • S•• C•••••• L•• · Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
Advisers that list P••••••• D•••• A•••• M••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Los Angeles, Ca · principal310
Offices
Schedule D 1.F, the 25 largest
  • Cupertino, CA
  • Los Angeles, CA
What changed
consecutive filings, newest first
One filing, no change to show.
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.
How to reach
public business contact points only, each with its source
Website
P•••••••D••••.COMreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$6.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026