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
A•••••••• W••••• P•••••••• L••
Latest filing Jan 23, 2026
First filing on the tape Mar 5, 2021 · 6 filings
SEC status approved since Apr 5, 2021
RAUM
$137M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$137M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$68.4M
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
6 filings and snapshots on the tape
RAUM$137M as of Jan 23, 2026
Feb 2, 2022$121M then
HNW client RAUM$136M as of Jan 23, 2026
Feb 2, 2022$120M then
State-registered IARs (5.B.3)2 as of Jan 23, 2026
Feb 2, 20222 then
Employees (5.A)2 as of Jan 23, 2026
Feb 2, 20222 then
Private funds: no history
RAUM +7.1% over the last fiscal year+8.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 23, 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
- $68.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM 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
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$136M100%
- Individuals$623,0880.5%
- Individual clients
- 1reported
- HNW clients
- 39reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 116reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| M•••••• R•••••• S••••••••• | Pleasant Hill, Ca | Mar 7, 2008 | 33 y | 2 |
| K••• K•••••• S•••••Chartered Financial Analyst | Pleasant Hill, Ca | Mar 10, 2008 | 26 y | 2 |
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
- K••• K•••••• S••••• from E••••• P•••••••• I•••Mar 10, 2008 · Other
- M•••••• R•••••• S••••••••• from E••••• P•••••••• I•••Mar 7, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• M••••••• R•••••• · Managing Member, Chief Financial Officer And Chief Compliance Officercontrolsince 07/2008 · owns 25% to 50%
- S•••••• K•••• K•••••• · Managing Member And Chief Executive Officercontrolsince 07/2008 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Pleasant Hill, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 121 to 116Mar 12, 2025 to Jan 23, 2026
- HNW clients · 37 to 39Mar 12, 2025 to Jan 23, 2026
- Individual clients · 6 to 1Mar 12, 2025 to Jan 23, 2026
- Discretionary RAUM · $128M to $137MMar 12, 2025 to Jan 23, 2026
- HNW RAUM · $123M to $136MMar 12, 2025 to Jan 23, 2026
- Individual RAUM · $4.7M to $623,088Mar 12, 2025 to Jan 23, 2026
- RAUM · $128M to $137MMar 12, 2025 to Jan 23, 2026
- Accounts · 118 to 121Mar 13, 2024 to Mar 12, 2025
- Individual clients · 5 to 6Mar 13, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 13, 2024 to Mar 12, 2025
- Discretionary RAUM · $117M to $128MMar 13, 2024 to Mar 12, 2025
- HNW RAUM · $114M to $123MMar 13, 2024 to Mar 12, 2025
- Individual RAUM · $3.8M to $4.7MMar 13, 2024 to Mar 12, 2025
- RAUM · $117M to $128MMar 13, 2024 to Mar 12, 2025
- Accounts · 121 to 118Feb 23, 2023 to Mar 13, 2024
- HNW clients · 40 to 37Feb 23, 2023 to Mar 13, 2024
- Individual clients · 3 to 5Feb 23, 2023 to Mar 13, 2024
- Discretionary RAUM · $106M to $117MFeb 23, 2023 to Mar 13, 2024
- HNW RAUM · $104M to $114MFeb 23, 2023 to Mar 13, 2024
- Individual RAUM · $1.5M to $3.8MFeb 23, 2023 to Mar 13, 2024
- RAUM · $106M to $117MFeb 23, 2023 to Mar 13, 2024
- HNW clients · 41 to 40Feb 2, 2022 to Feb 23, 2023
- Individual clients · 4 to 3Feb 2, 2022 to Feb 23, 2023
- Discretionary RAUM · $121M to $106MFeb 2, 2022 to Feb 23, 2023
- HNW RAUM · $120M to $104MFeb 2, 2022 to Feb 23, 2023
- Individual RAUM · $1.9M to $1.5MFeb 2, 2022 to Feb 23, 2023
- RAUM · $121M to $106MFeb 2, 2022 to Feb 23, 2023
- Accounts · 115 to 121Mar 5, 2021 to Feb 2, 2022
- HNW clients · 40 to 41Mar 5, 2021 to Feb 2, 2022
- Discretionary RAUM · $103M to $121MMar 5, 2021 to Feb 2, 2022
- HNW RAUM · $102M to $120MMar 5, 2021 to Feb 2, 2022
- Individual RAUM · $1.5M to $1.9MMar 5, 2021 to Feb 2, 2022
- RAUM · $103M to $121MMar 5, 2021 to Feb 2, 2022
Signals
1 dated events
- A•••••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Mar 5, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 925-798-7200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-798-7272reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-798-7200reportedpublic record, Form ADV, Jan 23, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- a•••••••••.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
- $68.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026