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K•••• W••••• A•••••••

Former SEC-registered adviserFormer SEC adviser· Pasadena, California

Former SEC-registered adviser, based in Pasadena, California, reporting $138M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$138M
Form ADV
RAUM change, 1 year
+14%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 6 Feb 2015, RAUM $121M to $138M (+13.8%) on the Form ADV filed 6 Feb 2015, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 134998 · SEC 801-78518 · 5 filingsShow
CRD 134998SEC 801-78518Legal name K•••• W••••• A•••••••• L••First filing on the tape Aug 26, 2013, latest Feb 6, 2015IAPD
RAUM
$138M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape

RAUM +14% over the last fiscal year · the tape starts Aug 26, 2013

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$138M as of Feb 6, 2015
Mar 28, 2014$121M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 6, 2015
Mar 28, 20142 then
Employees (5.A)7 as of Feb 6, 2015
Mar 28, 20147 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 6, 2015; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$68.9MderivedRAUM 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
$142,558derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%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, hourly, fixed feesreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
966reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Every departureEvery arrival
    Advisors registered through the firm
    0 on IAPD today; the longest tenured first
    No representative is registered through this CRD on IAPD.
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••• A••••• K•••• · Managing Member & Chief Compliance Officercontrol
      since 03/2013 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Torrance, CA
    What changed
    consecutive filings, newest first
    • Accounts · 904 to 966
      Aug 12, 2014 to Feb 6, 2015
    • Organization form · Limited Liability Company to Corporation
      Aug 12, 2014 to Feb 6, 2015
    • Non-discretionary RAUM · $121M to $138M
      Aug 12, 2014 to Feb 6, 2015
    • RAUM · $121M to $138M
      Aug 12, 2014 to Feb 6, 2015
    • Succession · true to false
      Aug 12, 2014 to Feb 6, 2015
    Full history · 10 changes
    • Succession · false to true
      Mar 28, 2014 to Aug 12, 2014
    • Accounts · 823 to 904
      Sep 10, 2013 to Mar 28, 2014
    • Employees · 4 to 7
      Sep 10, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $103M to $121M
      Sep 10, 2013 to Mar 28, 2014
    • RAUM · $103M to $121M
      Sep 10, 2013 to Mar 28, 2014
    Signals
    2 dated events
    • ••• Locked
      Aug 12, 2014 · Succession (Item 4) · fact
    • ••• Locked
      Aug 26, 2013 · 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
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
    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
    Not computedderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026