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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SEC-registered adviser
K••••••••• A•••• M•••••••••
Legal name P•••••• I••••••••• A••••••• C•••••••••
Latest filing Mar 19, 2026
First filing on the tape Mar 24, 2015 · 25 filings
SEC status approved since Apr 13, 2015
RAUM
$254M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$244M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$254M as of Mar 19, 2026
Sep 30, 2015$130M then
HNW client RAUM$226M as of Mar 19, 2026
Mar 27, 2018$132M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Sep 30, 20152 then
Employees (5.A)2 as of Mar 19, 2026
Sep 30, 20152 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- 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
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$226M89%
- Individuals$18.2M7.2%
- Corporations and businesses$6.2M2.4%
- Pension and profit-sharing plans$3.4M1.3%
- Individual clients
- 30reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 215reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• W•••••• K••••••••• | San Jose, Ca | Nov 8, 2016 | 19 y | 3 |
| V••• P••••• | San Jose, Ca | Nov 9, 2016 | 36 y | 0 |
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
- M••• W•••••• K••••••••• from L•• F•••••••• I•••May 15, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• M•••• W•••••• · President & Ccocontrolsince 10/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Jose, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 209 to 215Mar 14, 2025 to Mar 19, 2026
- Corporate clients · 1.0 to unsetMar 14, 2025 to Mar 19, 2026
- HNW clients · 46 to 51Mar 14, 2025 to Mar 19, 2026
- Individual clients · 28 to 30Mar 14, 2025 to Mar 19, 2026
- Pension plan clients · 2.0 to unsetMar 14, 2025 to Mar 19, 2026
- Discretionary RAUM · $223M to $254MMar 14, 2025 to Mar 19, 2026
- HNW RAUM · $199M to $226MMar 14, 2025 to Mar 19, 2026
- Individual RAUM · $15.8M to $18.2MMar 14, 2025 to Mar 19, 2026
- Pension RAUM · $3.2M to $3.4MMar 14, 2025 to Mar 19, 2026
- RAUM · $223M to $254MMar 14, 2025 to Mar 19, 2026
- Accounts · 206 to 209Oct 15, 2024 to Mar 14, 2025
- BD registered reps · 1 to 0Oct 15, 2024 to Mar 14, 2025
- Corporate clients · unset to 1.0Oct 15, 2024 to Mar 14, 2025
- HNW clients · 42 to 46Oct 15, 2024 to Mar 14, 2025
- Individual clients · 36 to 28Oct 15, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Oct 15, 2024 to Mar 14, 2025
- HQ city · unset to Oct 15, 2024 to Mar 14, 2025
- HQ state · unset to Oct 15, 2024 to Mar 14, 2025
- State-registered IARs · 2 to 0Oct 15, 2024 to Mar 14, 2025
- Discretionary RAUM · $204M to $223MOct 15, 2024 to Mar 14, 2025
- HNW RAUM · $190M to $199MOct 15, 2024 to Mar 14, 2025
- Individual RAUM · $12.5M to $15.8MOct 15, 2024 to Mar 14, 2025
- Pension RAUM · $1.7M to $3.2MOct 15, 2024 to Mar 14, 2025
- RAUM · $204M to $223MOct 15, 2024 to Mar 14, 2025
- Accounts · 200 to 206Mar 31, 2023 to Mar 15, 2024
- HNW clients · 36 to 42Mar 31, 2023 to Mar 15, 2024
- Individual clients · 40 to 36Mar 31, 2023 to Mar 15, 2024
- Pension plan clients · unset to 2.0Mar 31, 2023 to Mar 15, 2024
- Discretionary RAUM · $173M to $204MMar 31, 2023 to Mar 15, 2024
- HNW RAUM · $137M to $190MMar 31, 2023 to Mar 15, 2024
- Individual RAUM · $30.6M to $12.5MMar 31, 2023 to Mar 15, 2024
- Pension RAUM · $450,000 to $1.7MMar 31, 2023 to Mar 15, 2024
- RAUM · $173M to $204MMar 31, 2023 to Mar 15, 2024
- Accounts · 193 to 200Jul 26, 2022 to Mar 31, 2023
- Advisory employees · 2 to 1Jul 26, 2022 to Mar 31, 2023
- Charity clients · 0.0 to unsetJul 26, 2022 to Mar 31, 2023
- Corporate clients · 0.0 to unsetJul 26, 2022 to Mar 31, 2023
- HNW clients · 58 to 36Jul 26, 2022 to Mar 31, 2023
- Individual clients · 19 to 40Jul 26, 2022 to Mar 31, 2023
- Pension plan clients · 0.0 to unsetJul 26, 2022 to Mar 31, 2023
Signals
1 dated events
- P•••••• I••••••••• A••••••• C••••••••• filed its initial SEC registration (Form ADV)Mar 24, 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
- Principal office phone
- 408-316-6272reportedpublic record, Form ADV, Mar 19, 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