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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Former SEC-registered adviser

P••••••••• I••••••••• A••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 147271SEC 801-69194IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 28, 2012 · 14 filings
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 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$117M as of Mar 31, 2022
Apr 30, 2012$157M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Apr 30, 20120 then
Employees (5.A)0 as of Mar 31, 2022
Mar 28, 20134 then
Private funds: no history
RAUM -20% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$117MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-20%derivedbetween 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 investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$117M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• E•••••• S•••••• · Vice President, General Counsel & Chief Compliance Officercontrol
        since 05/2008 · owns less than 5%
      • H••••• B••••••• F•••••• · Vice President & Chief Financial Officercontrol
        since 05/2008 · owns less than 5%
      • K••••••• D••••• · Co-Chairman & Directorcontrol
        since 05/2008 · owns less than 5%
      • M•••••••• B••••• W••• · Co-Chairman & Directorcontrol
        since 01/2009 · owns less than 5%
      • S••••••• S•••••• S••••• · Co-President & Directorcontrol
        since 01/2009 · owns less than 5%
      • K••••••• D••••• · Presidentcontrol
        since 05/2005 · owns 50% to 75% of K•••••• Investment Services, Inc.
      • P•••••• J•••• A•• · President And Directorcontrol
        since 08/1983 · owns 50% to 75% of P••••• • R••••
      Entity owners
      • K••••• I••••••••• S•••••••• I••• · Member
        direct · owns 50% to 75%
      • P••••• • R•••• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Advisers that list P••••••••• I••••••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $146M to $117M
        Mar 28, 2022 to Mar 31, 2022
      • RAUM · $146M to $117M
        Mar 28, 2022 to Mar 31, 2022
      • Discretionary RAUM · $189M to $146M
        May 15, 2020 to Mar 31, 2021
      • RAUM · $189M to $146M
        May 15, 2020 to Mar 31, 2021
      • Discretionary RAUM · $194M to $189M
        Mar 30, 2019 to May 15, 2020
      • RAUM · $194M to $189M
        Mar 30, 2019 to May 15, 2020
      • Discretionary RAUM · $216M to $194M
        Mar 29, 2018 to Mar 30, 2019
      • RAUM · $216M to $194M
        Mar 29, 2018 to Mar 30, 2019
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $212M to $216M
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $212M to $216M
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 2 to 1
        Mar 30, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $305M to $212M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $305M to $212M
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $238M to $305M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $238M to $305M
        Mar 30, 2015 to Mar 30, 2016
      • Advisory employees · 3 to 0
        Mar 31, 2014 to Mar 30, 2015
      • Advisory activities · 1 to 2
        Mar 31, 2014 to Mar 30, 2015
      • BD registered reps · 3 to 0
        Mar 31, 2014 to Mar 30, 2015
      • Employees · 4 to 0
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $155M to $238M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $155M to $238M
        Mar 31, 2014 to Mar 30, 2015
      • Advisory activities · 2 to 1
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $197M to $155M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $197M to $155M
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · unset to 3.0
        Apr 30, 2012 to Mar 28, 2013
      • BD registered reps · unset to 3.0
        Apr 30, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        Apr 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $157M to $197M
        Apr 30, 2012 to Mar 28, 2013
      • RAUM · $157M to $197M
        Apr 30, 2012 to Mar 28, 2013
      • Related bank · false to true
        Apr 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $104M to $157M
        Mar 28, 2012 to Apr 30, 2012
      • RAUM · $104M to $157M
        Mar 28, 2012 to Apr 30, 2012
      Signals
      1 dated events
      • Jay Scott Weiner (Co-President & Director) no longer on Schedule A of P••••••••• I••••••••• A••••••• L•• (listed 2021-03-31, absent 2022-03-28)
        Mar 28, 2022 · Control person left · inference
      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