DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
D••••• B•• M••••••••• • P•••••••
Legal name O••••• H•••• K•••
Latest filing Mar 30, 2026
First filing on the tape Aug 20, 2015 · 14 filings
SEC status approved since Aug 31, 2015
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$106M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$127M as of Mar 30, 2026
Mar 30, 2016$320M then
HNW client RAUM$104M as of Mar 30, 2026
Mar 30, 2018$102M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 30, 20161 then
Employees (5.A)1 as of Mar 30, 2026
Mar 30, 20161 then
Private funds: no history
RAUM +14% over the last fiscal year+8.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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
- High-net-worth individuals$104M82%
- Pension and profit-sharing plans$21.3M17%
- Individuals$1.3M1.0%
- Individual clients
- 9reported
- HNW clients
- 23reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 100reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• K••• O••••Chartered Financial Analyst | San Francisco, Ca | Aug 6, 2020 | 29 y | 1 |
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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• H••••• K••• · Principal, Chief Compliance Officercontrolsince 08/1998 · owns 75% or more
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 · 81 to 100Mar 28, 2025 to Mar 30, 2026
- HNW clients · 19 to 23Mar 28, 2025 to Mar 30, 2026
- Individual clients · 10 to 9Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $111M to $127MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $91.2M to $104MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $2.1M to $1.3MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $17.8M to $21.3MMar 28, 2025 to Mar 30, 2026
- RAUM · $111M to $127MMar 28, 2025 to Mar 30, 2026
- Accounts · 90 to 81Mar 29, 2024 to Mar 28, 2025
- HNW clients · 18 to 19Mar 29, 2024 to Mar 28, 2025
- Individual clients · 9 to 10Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $106M to $111MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $88.5M to $91.2MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $2.7M to $2.1MMar 29, 2024 to Mar 28, 2025
- Pension RAUM · $14.9M to $17.8MMar 29, 2024 to Mar 28, 2025
- RAUM · $106M to $111MMar 29, 2024 to Mar 28, 2025
- Accounts · 89 to 90Mar 30, 2023 to Mar 29, 2024
- HNW clients · 16 to 18Mar 30, 2023 to Mar 29, 2024
- Assets in custody · 10187894.0 to unsetMar 30, 2023 to Mar 29, 2024
- Custody of client assets · true to falseMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $101M to $106MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $76.6M to $88.5MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $4.0M to $2.7MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $20.2M to $14.9MMar 30, 2023 to Mar 29, 2024
- RAUM · $101M to $106MMar 30, 2023 to Mar 29, 2024
- Accounts · 91 to 89Mar 31, 2022 to Mar 30, 2023
- HNW clients · 15 to 16Mar 31, 2022 to Mar 30, 2023
- Individual clients · 8 to 9Mar 31, 2022 to Mar 30, 2023
- Assets in custody · unset to 10187894.0Mar 31, 2022 to Mar 30, 2023
- Custody of client assets · false to trueMar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $112M to $101MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $111M to $76.6MMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $1.9M to $4.0MMar 31, 2022 to Mar 30, 2023
- Pension RAUM · unset to 20165766.0Mar 31, 2022 to Mar 30, 2023
- RAUM · $112M to $101MMar 31, 2022 to Mar 30, 2023
- Accounts · 90 to 91Mar 26, 2021 to Mar 31, 2022
- HNW clients · 18 to 15Mar 26, 2021 to Mar 31, 2022
- Individual clients · 9 to 8Mar 26, 2021 to Mar 31, 2022
- Financial planning clients · 1-10 to 11-25Mar 26, 2021 to Mar 31, 2022
Signals
2 dated events
- D••••• B•• M••••••••• • P••••••• reported RAUM $93.5M, down 78% from $416.0M (2018-03-30 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- D••••• B•• M••••••••• • P••••••• filed its initial SEC registration (Form ADV)Aug 20, 2015 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 415-276-2373reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-494-3267reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.d•••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 800-494-3267reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026