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Independent wealth managerSEC-registered· Cupertino, Californiawebsite

Independent wealth manager, based in Cupertino, California, reporting $124M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$124M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not established
Private clients
100% of RAUM, $124M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 152180 · SEC 801-136642 · 1 filingsShow
CRD 152180SEC 801-136642First filing on the tape Aug 17, 2026, latest Aug 17, 2026SEC status approved since Aug 6, 2026IAPD
RAUM
$124M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
100%
$124M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$124M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $124M
HNW client RAUM: $115M
State-registered IARs (5.B.3): 1
Employees (5.A): 1
Private funds: no history
Practice profile
derived from the filing of Aug 17, 2026; every figure names its basis
Archetypes, each a printed rule
RAUM per advisor
$124MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$724,779derivedRAUM over accounts (5.F.2.f)
Discretionary
67%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
0.5derived2 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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$124MreportedItem 5.I
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
  • High-net-worth individuals$115M93%
  • Individuals$8.4M6.8%
Individual clients
24reported
HNW clients
41reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
171reported
Financial planning clients
11-25reported
Wrap fee programs
$124M sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
NameBranchHere sinceIn industryPrior firms
S••• K•••••••• A••••••Chartered Financial ConsultantCupertino, CaJan 20, 201032 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••••• S•••• K•••••••• · Managing Member/Chief Compliance Officercontrol
      since 12/2010 · 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
    One filing, no change to show.
    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.
    How to reach
    public business contact points only, each with its source
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Aug 17, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Aug 17, 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
    $124Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026