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

K••••• I••••••••• S•••••••• I•••

Former SEC-registered adviserValencia, CaliforniaCRD 135704SEC 801-64439IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 13, 2012 · 16 filings
RAUM
$77.5M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$77.5M as of Mar 31, 2022
Mar 13, 2012$326M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 13, 20120 then
Employees (5.A)5 as of Mar 31, 2022
Mar 18, 20135 then
Private funds: no history
RAUM -36% over the last fiscal year-4.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$5.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-36%derivedbetween 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
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$66.5M86%
  • Pension and profit-sharing plans$11.0M14%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
13reported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
n/areported
Wrap fee programs
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• D••••• · Chairman, Shareholdercontrol
        since 05/2005 · owns 50% to 75%
      • S••••••• S•••••• S••••• · President, Shareholdercontrol
        since 05/2005 · owns 25% to 50%
      • M•••••••• S••••••• J••• · Chief Compliance Officer
        since 06/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list K••••• I••••••••• S•••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 16 to 14
        Mar 30, 2021 to Mar 31, 2022
      • Advisory activities · 4 to 5
        Mar 30, 2021 to Mar 31, 2022
      • Insurance-licensed employees · 3 to 2
        Mar 30, 2021 to Mar 31, 2022
      • Discretionary RAUM · $62.8M to $66.5M
        Mar 30, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $58.6M to $11.0M
        Mar 30, 2021 to Mar 31, 2022
      • Pension RAUM · $58.6M to $11.0M
        Mar 30, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $62.8M to $66.5M
        Mar 30, 2021 to Mar 31, 2022
      • RAUM · $121M to $77.5M
        Mar 30, 2021 to Mar 31, 2022
      • Accounts · 15 to 16
        Jun 30, 2020 to Mar 30, 2021
      • Advisory employees · 2 to 3
        Jun 30, 2020 to Mar 30, 2021
      • Pension plan clients · 14 to 13
        Jun 30, 2020 to Mar 30, 2021
      • Insurance-licensed employees · 0 to 3
        Jun 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $67.3M to $62.8M
        Jun 30, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $23.1M to $58.6M
        Jun 30, 2020 to Mar 30, 2021
      • Pension RAUM · $23.1M to $58.6M
        Jun 30, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $67.3M to $62.8M
        Jun 30, 2020 to Mar 30, 2021
      • RAUM · $90.5M to $121M
        Jun 30, 2020 to Mar 30, 2021
      • Accounts · 18 to 15
        Nov 26, 2019 to Mar 30, 2020
      • Advisory employees · 3 to 2
        Nov 26, 2019 to Mar 30, 2020
      • Pension plan clients · 17 to 14
        Nov 26, 2019 to Mar 30, 2020
      • Employees · 7 to 5
        Nov 26, 2019 to Mar 30, 2020
      • Discretionary RAUM · $76.8M to $67.3M
        Nov 26, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $26.0M to $23.1M
        Nov 26, 2019 to Mar 30, 2020
      • Pension RAUM · $26.0M to $23.1M
        Nov 26, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $76.8M to $67.3M
        Nov 26, 2019 to Mar 30, 2020
      • RAUM · $103M to $90.5M
        Nov 26, 2019 to Mar 30, 2020
      • Pension plan clients · 18 to 17
        Apr 1, 2019 to Nov 26, 2019
      • Commission compensation · true to false
        Apr 1, 2019 to Nov 26, 2019
      • Assets in custody · 9300394.0 to unset
        Apr 1, 2019 to Nov 26, 2019
      • Custody of client assets · true to false
        Apr 1, 2019 to Nov 26, 2019
      • Discretionary RAUM · $64.1M to $76.8M
        Apr 1, 2019 to Nov 26, 2019
      • Non-discretionary RAUM · $23.5M to $26.0M
        Apr 1, 2019 to Nov 26, 2019
      • Pension RAUM · $23.5M to $26.0M
        Apr 1, 2019 to Nov 26, 2019
      • Pooled vehicle RAUM · $64.1M to $76.8M
        Apr 1, 2019 to Nov 26, 2019
      • RAUM · $87.6M to $103M
        Apr 1, 2019 to Nov 26, 2019
      • Accounts · 85 to 18
        Mar 29, 2018 to Apr 1, 2019
      • Advisory activities · 3 to 4
        Mar 29, 2018 to Apr 1, 2019
      • Pension plan clients · 83 to 18
        Mar 29, 2018 to Apr 1, 2019
      • Pooled vehicle clients · unset to 1.0
        Mar 29, 2018 to Apr 1, 2019
      • Assets in custody · $8.5M to $9.3M
        Mar 29, 2018 to Apr 1, 2019
      Signals
      2 dated events
      • K••••• I••••••••• S•••••••• I••• reported RAUM $87.6M, down 87% from $686.1M (2018-03-29 to 2019-04-01)
        Apr 1, 2019 · RAUM change · derived
      • K••••• I••••••••• S•••••••• I••• reported RAUM $686.1M, up 123% from $307.7M (2017-07-27 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      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