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.

Former SEC-registered adviser

Y•••• W••••• M•••••••••

Former SEC-registered adviserDavis, CaliforniaCRD 145478SEC 801-121721websiteIAPD
Legal name K•••• M• Y•••• F••••••••• I•••
Latest filing Mar 19, 2024
First filing on the tape Jun 9, 2021 · 8 filings
SEC status approved since Jul 13, 2021
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$114M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$117M as of Jan 30, 2024
Feb 25, 2022$117M then
HNW client RAUM$71.1M as of Jan 30, 2024
Feb 25, 2022$72.9M then
State-registered IARs (5.B.3)2 as of Jan 30, 2024
Feb 25, 20222 then
Employees (5.A)2 as of Jan 30, 2024
Feb 25, 20222 then
Private funds: no history
RAUM +1.2% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 2024; every figure names its basis
RAUM per advisor
$58.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$383,552derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+1.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-14%derived
Compensation
percentage of assets, 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
  • 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)
  • 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
  • High-net-worth individuals$71.1M61%
  • Individuals$42.7M37%
  • Pension and profit-sharing plans$1.5M1.3%
  • Corporations and businesses$1.0M0.9%
  • Charitable organizations$278,7730.2%
Individual clients
66reported
HNW clients
22reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
304reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Y••••• K••••• M• · President & Chief Compliance Officercontrol
        since 10/2007 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Davis, Ca · principal000
      Offices
      Schedule D 1.F, the 25 largest
      • Sacramento, CA1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 313 to 304
        Mar 23, 2023 to Jan 30, 2024
      • Charity clients · 1.0 to unset
        Mar 23, 2023 to Jan 30, 2024
      • Corporate clients · 2.0 to unset
        Mar 23, 2023 to Jan 30, 2024
      • HNW clients · 38 to 22
        Mar 23, 2023 to Jan 30, 2024
      • Individual clients · 64 to 66
        Mar 23, 2023 to Jan 30, 2024
      • Pension plan clients · 2.0 to unset
        Mar 23, 2023 to Jan 30, 2024
      • Pooled vehicle clients · 0.0 to unset
        Mar 23, 2023 to Jan 30, 2024
      • Discretionary RAUM · $115M to $117M
        Mar 23, 2023 to Jan 30, 2024
      • HNW RAUM · $62.8M to $71.1M
        Mar 23, 2023 to Jan 30, 2024
      • Individual RAUM · $48.3M to $42.7M
        Mar 23, 2023 to Jan 30, 2024
      • Pension RAUM · $2.3M to $1.5M
        Mar 23, 2023 to Jan 30, 2024
      • Pooled vehicle RAUM · 0.0 to unset
        Mar 23, 2023 to Jan 30, 2024
      • RAUM · $115M to $117M
        Mar 23, 2023 to Jan 30, 2024
      • Accounts · 105 to 313
        Mar 1, 2022 to Mar 23, 2023
      • Charity clients · unset to 1.0
        Mar 1, 2022 to Mar 23, 2023
      • Corporate clients · unset to 2.0
        Mar 1, 2022 to Mar 23, 2023
      • HNW clients · 29 to 38
        Mar 1, 2022 to Mar 23, 2023
      • Individual clients · 71 to 64
        Mar 1, 2022 to Mar 23, 2023
      • Pension plan clients · unset to 2.0
        Mar 1, 2022 to Mar 23, 2023
      • Discretionary RAUM · $117M to $115M
        Mar 1, 2022 to Mar 23, 2023
      • HNW RAUM · $72.9M to $62.8M
        Mar 1, 2022 to Mar 23, 2023
      • Individual RAUM · $39.9M to $48.3M
        Mar 1, 2022 to Mar 23, 2023
      • Pension RAUM · $2.2M to $2.3M
        Mar 1, 2022 to Mar 23, 2023
      • RAUM · $117M to $115M
        Mar 1, 2022 to Mar 23, 2023
      • Accounts · 313 to 105
        Jul 6, 2021 to Feb 25, 2022
      • Charity clients · 0.0 to unset
        Jul 6, 2021 to Feb 25, 2022
      • Corporate clients · 0.0 to unset
        Jul 6, 2021 to Feb 25, 2022
      • HNW clients · 32 to 29
        Jul 6, 2021 to Feb 25, 2022
      • Pension plan clients · 0.0 to unset
        Jul 6, 2021 to Feb 25, 2022
      • Financial planning clients · 51-100 to 1-10
        Jul 6, 2021 to Feb 25, 2022
      • Discretionary RAUM · $105M to $117M
        Jul 6, 2021 to Feb 25, 2022
      • HNW RAUM · $67.7M to $72.9M
        Jul 6, 2021 to Feb 25, 2022
      • Individual RAUM · $37.8M to $39.9M
        Jul 6, 2021 to Feb 25, 2022
      • Pension RAUM · $0 to $2.2M
        Jul 6, 2021 to Feb 25, 2022
      • RAUM · $105M to $117M
        Jul 6, 2021 to Feb 25, 2022
      Signals
      5 dated events
      • Y•••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $116.6M)
        Mar 6, 2025 · Left the SEC roster · derived
      • 2 advisors left Y•••• W••••• M••••••••• (Davis, CA) for A••••• W••••• on the same day
        Mar 3, 2025 · Team lift-out · derived
      • K•••• M• Y•••• left Y•••• W••••• M••••••••• for A••••• W••••• (registered 2025-01-06)
        Mar 3, 2025 · Advisor changed firm · fact
      • J••• T•• Y••••••• left Y•••• W••••• M••••••••• for A••••• W••••• (registered 2025-01-06)
        Mar 3, 2025 · Advisor changed firm · fact
      • Y•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
        Jun 9, 2021 · 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
      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