DFX Intelligence
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SEC-registered adviser
A••••••• C•••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 28, 2012 · 14 filings
SEC status approved since Sep 25, 2023
RAUM
$147M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$147M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$147M
derived; firm RAUM over IAPD count
Employees
1
1 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$147M as of Mar 26, 2026
Mar 28, 2012$60.0M then
HNW client RAUM$146M as of Mar 26, 2026
Mar 25, 2024$124M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 28, 20120 then
Employees (5.A)1 as of Mar 26, 2026
Mar 25, 20241 then
Private funds: 1
RAUM +6.1% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$146M99%
- Individuals$828,6510.6%
- Individual clients
- 12reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 118reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•• T•••• N••••• | Gardnerville, Nv | Nov 14, 2023 | 29 y | 4 |
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•• T•••• N••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 10, 2009 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• F••• I• L•no longer reported | Hedge Fund | $7.0M | 10 | Dec 11, 2012 |
| A••••••• F••• I• L•no longer reported | Hedge Fund | $5.0M | 10 | Mar 28, 2012 |
| A••••••• F••• I• L•no longer reported | Hedge Fund | $4.3M | 6 | Dec 11, 2012 |
Owners and control persons
Schedule A and B, latest filing
- N•••••• K••• T•••• · Managing Member And Chief Compliance Officercontrolsince 08/2009 · owns 75% or more
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 · 113 to 118Mar 26, 2025 to Mar 26, 2026
- HNW clients · 25 to 22Mar 26, 2025 to Mar 26, 2026
- Individual clients · 6 to 12Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $138M to $147MMar 26, 2025 to Mar 26, 2026
- HNW RAUM · $138M to $146MMar 26, 2025 to Mar 26, 2026
- Individual RAUM · $448,124 to $828,651Mar 26, 2025 to Mar 26, 2026
- RAUM · $138M to $147MMar 26, 2025 to Mar 26, 2026
- Accounts · 115 to 113Nov 1, 2024 to Mar 26, 2025
- Advisory activities · 2 to 3Nov 1, 2024 to Mar 26, 2025
- HNW clients · 23 to 25Nov 1, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Nov 1, 2024 to Mar 26, 2025
- HQ city · unset to Nov 1, 2024 to Mar 26, 2025
- HQ state · unset to Nov 1, 2024 to Mar 26, 2025
- Discretionary RAUM · $101M to $138MNov 1, 2024 to Mar 26, 2025
- HNW RAUM · $124M to $138MNov 1, 2024 to Mar 26, 2025
- Individual RAUM · $376,000 to $448,124Nov 1, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $24.4M to $0Nov 1, 2024 to Mar 26, 2025
- RAUM · $125M to $138MNov 1, 2024 to Mar 26, 2025
- Accounts · 27 to 115Sep 19, 2023 to Mar 25, 2024
- HNW clients · 22 to 23Sep 19, 2023 to Mar 25, 2024
- Individual clients · 7 to 6Sep 19, 2023 to Mar 25, 2024
- Discretionary RAUM · $89.5M to $101MSep 19, 2023 to Mar 25, 2024
- HNW RAUM · $111M to $124MSep 19, 2023 to Mar 25, 2024
- Individual RAUM · $490,153 to $376,000Sep 19, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $23.0M to $24.4MSep 19, 2023 to Mar 25, 2024
- RAUM · $112M to $125MSep 19, 2023 to Mar 25, 2024
- Accounts · 120 to 27Dec 11, 2012 to Jul 20, 2023
- Advisory employees · 2 to 1Dec 11, 2012 to Jul 20, 2023
- Advisory activities · 5 to 2Dec 11, 2012 to Jul 20, 2023
- HNW clients · unset to 22.0Dec 11, 2012 to Jul 20, 2023
- Individual clients · unset to 7.0Dec 11, 2012 to Jul 20, 2023
- Employees · 3 to 1Dec 11, 2012 to Jul 20, 2023
- Financial planning clients · 26-50 to 1-10Dec 11, 2012 to Jul 20, 2023
- HQ city · SAN FRANCISCO to unsetDec 11, 2012 to Jul 20, 2023
- HQ state · CA to unsetDec 11, 2012 to Jul 20, 2023
- Other offices · unset to 0.0Dec 11, 2012 to Jul 20, 2023
- Private funds · 3 to unsetDec 11, 2012 to Jul 20, 2023
- Discretionary RAUM · $85.0M to $89.5MDec 11, 2012 to Jul 20, 2023
- HNW RAUM · unset to 111422962.0Dec 11, 2012 to Jul 20, 2023
- Individual RAUM · unset to 490153.0Dec 11, 2012 to Jul 20, 2023
Signals
2 dated events
- Ann Jolie Bales (Managing Member And Chief Compliance Officer) no longer on Schedule A of A••••••• C•••••• M••••••••• L•• (listed 2012-12-11, absent 2023-07-20)Jul 20, 2023 · Control person left · inference
- A••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 20, 2023 · 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
- Website
- A•••••••CAPITAL.COMreportedpublic record, Form ADV, Mar 26, 2026
- Principal office phone
- (800) 337-0353reportedpublic record, Form ADV, Mar 26, 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
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026