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•••••• P••••• A••••••• L••

Former SEC-registered adviserSanta Barbara, CaliforniaCRD 149892SEC 801-74647IAPD
Latest filing May 23, 2013
First filing on the tape Mar 15, 2012 · 6 filings
RAUM
$173M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$173M as of May 23, 2013
Mar 15, 2012$120M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of May 23, 2013
Mar 15, 20120 then
Employees (5.A)3 as of May 23, 2013
Jan 29, 20133 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 23, 2013; every figure names its basis
RAUM per advisor
$57.7MderivedRAUM 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
$2.1MderivedRAUM 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
3.0derived1 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 individuals, portfolio management for businesses and institutionsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
82reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••••• G•••• K•••• · Managing Membercontrol
    since 07/2009 · owns 25% to 50%
  • M••••••••• T••••••• S••••• · Managing Member And Chief Compliance Officercontrol
    since 07/2009 · owns 25% to 50%
  • W••••••••• A•••••• H•••• · Managing Membercontrol
    since 04/2012 · owns less than 5%
  • E••••• S••••••• E• · Ownercontrol
    since 03/2002 · owns 50% to 75% of B••••• P••••• H••••••• L••
  • F••••• G••••• K•••• · Ownercontrol
    since 03/2006 · owns 50% to 75% of The G•••• K•••• F•••• And C•••••• Ann F•••• Trust Dtd 5/7/87
Entity owners
  • B••••• P••••• H••••••• L•• · Direct Owner
    indirect · owns 75% or more of B••••• P••••• Wealth Advisors LLC
  • T•• G•••• K•••• F•••• A•• C•••••• A•• F•••• F••••• T•••• D•• 5••••• · Owner
    indirect · owns 50% to 75% of B••••• P••••• H••••••• L••
  • B••••• P••••• W••••• A•••••••• L•• · Member
    direct · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 40 to 82
    Mar 4, 2013 to May 23, 2013
  • Discretionary RAUM · $25.3M to $173M
    Mar 4, 2013 to May 23, 2013
  • Non-discretionary RAUM · $125M to $0
    Mar 4, 2013 to May 23, 2013
  • RAUM · $150M to $173M
    Mar 4, 2013 to May 23, 2013
  • Accounts · 3 to 40
    Jun 27, 2012 to Jan 29, 2013
  • Advisory employees · unset to 3.0
    Jun 27, 2012 to Jan 29, 2013
  • Employees · unset to 3.0
    Jun 27, 2012 to Jan 29, 2013
  • Financial planning clients · 0 to unset
    Jun 27, 2012 to Jan 29, 2013
  • State-registered IARs · 0 to 3
    Jun 27, 2012 to Jan 29, 2013
  • Discretionary RAUM · $20.0M to $25.3M
    Jun 27, 2012 to Jan 29, 2013
  • Non-discretionary RAUM · $100M to $125M
    Jun 27, 2012 to Jan 29, 2013
  • RAUM · $120M to $150M
    Jun 27, 2012 to Jan 29, 2013
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.
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