DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A• G••••• A•••• M••••••••• L••
Latest filing Feb 18, 2026
First filing on the tape Dec 19, 2011 · 15 filings
SEC status approved since Nov 17, 2025
RAUM
$118M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$92.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$118M as of Feb 18, 2026
Jan 30, 2012$104M then
HNW client RAUM$91.4M as of Feb 18, 2026
Sep 23, 2025$86.6M then
State-registered IARs (5.B.3)2 as of Feb 18, 2026
Feb 7, 20132 then
Employees (5.A)2 as of Feb 18, 2026
Feb 7, 20133 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 18, 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
- $58.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- 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 assetsreportedItem 5.E
- Advisory activities
- 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)
- 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$91.4M78%
- Corporations and businesses$25.7M22%
- Individuals$662,0940.6%
- Individual clients
- n/areported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 104reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| A•••••• S••• W•• K••• | Oakland, Ca | Feb 17, 2026 | 25 y | 1 |
| A•••••• H••••••• K••• | Oakland, Ca | Feb 23, 2026 | 25 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- A•••••• S••• W•• K••• from C•••••• S••••• • C••• I•••Feb 17, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• A••••••• H••••••• · Managing Membercontrolsince 10/2005 · owns 25% to 50%
- K•••• A••••••• S••• W•• · Managing Member/Chief Compliance Officer/Chief Investment Officercontrolsince 09/2005 · owns 25% to 50%
- K•••• C••••••• S•• F•• L•• · Membercontrolsince 10/2005 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Oakland, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 108 to 104Sep 23, 2025 to Feb 18, 2026
- HNW clients · 22 to 28Sep 23, 2025 to Feb 18, 2026
- Discretionary RAUM · $113M to $118MSep 23, 2025 to Feb 18, 2026
- HNW RAUM · $86.6M to $91.4MSep 23, 2025 to Feb 18, 2026
- Individual RAUM · $1.5M to $662,094Sep 23, 2025 to Feb 18, 2026
- RAUM · $113M to $118MSep 23, 2025 to Feb 18, 2026
- Accounts · 100 to 108Mar 15, 2016 to Sep 23, 2025
- HNW clients · unset to 22.0Mar 15, 2016 to Sep 23, 2025
- Employees · 3 to 2Mar 15, 2016 to Sep 23, 2025
- Financial planning clients · unset to Mar 15, 2016 to Sep 23, 2025
- Other offices · unset to 0.0Mar 15, 2016 to Sep 23, 2025
- Discretionary RAUM · $46.5M to $113MMar 15, 2016 to Sep 23, 2025
- HNW RAUM · unset to 86571329.0Mar 15, 2016 to Sep 23, 2025
- Individual RAUM · unset to 1541449.0Mar 15, 2016 to Sep 23, 2025
- RAUM · $46.5M to $113MMar 15, 2016 to Sep 23, 2025
- Advisory activities · 2 to 1Mar 2, 2016 to Mar 15, 2016
- Accounts · 114 to 100Mar 5, 2015 to Feb 23, 2016
- Discretionary RAUM · $47.6M to $46.5MMar 5, 2015 to Feb 23, 2016
- Non-discretionary RAUM · $59.3M to $0Mar 5, 2015 to Feb 23, 2016
- RAUM · $107M to $46.5MMar 5, 2015 to Feb 23, 2016
- Accounts · 285 to 114Jan 29, 2015 to Mar 5, 2015
- Discretionary RAUM · $44.3M to $47.6MJan 29, 2015 to Mar 5, 2015
- Non-discretionary RAUM · $56.2M to $59.3MJan 29, 2015 to Mar 5, 2015
- RAUM · $101M to $107MJan 29, 2015 to Mar 5, 2015
- Accounts · 316 to 285Nov 5, 2013 to Feb 27, 2014
- Discretionary RAUM · $80.8M to $44.3MNov 5, 2013 to Feb 27, 2014
- Non-discretionary RAUM · $21.4M to $56.2MNov 5, 2013 to Feb 27, 2014
- RAUM · $102M to $101MNov 5, 2013 to Feb 27, 2014
- Accounts · 344 to 316Jan 30, 2012 to Feb 7, 2013
- Advisory employees · unset to 2.0Jan 30, 2012 to Feb 7, 2013
- Employees · unset to 3.0Jan 30, 2012 to Feb 7, 2013
- State-registered IARs · unset to 2.0Jan 30, 2012 to Feb 7, 2013
- Discretionary RAUM · $85.2M to $80.8MJan 30, 2012 to Feb 7, 2013
- Non-discretionary RAUM · $19.2M to $21.4MJan 30, 2012 to Feb 7, 2013
- RAUM · $104M to $102MJan 30, 2012 to Feb 7, 2013
- Accounts · 338 to 344Jan 12, 2012 to Jan 30, 2012
- Discretionary RAUM · $82.5M to $85.2MJan 12, 2012 to Jan 30, 2012
- Non-discretionary RAUM · $26.2M to $19.2MJan 12, 2012 to Jan 30, 2012
- RAUM · $109M to $104MJan 12, 2012 to Jan 30, 2012
- Insurance-licensed employees · unset to 0.0Dec 19, 2011 to Jan 12, 2012
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
- Business email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 510-466-6338reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 510-466-6340reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 510-466-6338reportedpublic record, Form ADV, Feb 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $58.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026