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

S••••••••• C•••••• P•••••••• L•

Former SEC-registered adviserCarlsbad, CaliforniaCRD 158405SEC 801-73389IAPD
Latest filing Mar 29, 2019
First filing on the tape Feb 13, 2012 · 12 filings
RAUM
$52.0M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$52.0M gross assets
History
12 filings and snapshots on the tape
RAUM$52.0M as of Mar 29, 2019
Mar 26, 2013$241M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 26, 20130 then
Employees (5.A)5 as of Mar 29, 2019
Mar 26, 20135 then
Private funds3 as of Mar 29, 2019
Mar 26, 20132 then
RAUM -57% over the last fiscal year-34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$17.3MderivedRAUM 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
-57%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$52.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••••• C••••••••• F•••• L••Private Equity Fund$13.7M29Feb 13, 2012
      S••••••••• C•••••• F••• O• F••••• L•Private Equity Fund$2.2M1Mar 26, 2014
      S••••••••• C•••••• F•••• L•Private Equity Fund$233,5653Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• T•••••• · Managing Director, Chief Financial Officer, Chief Compliance Officercontrol
        since 03/2007 · owns less than 5%
      • C••••••• J•••• · Chief Executive Officer, Limited Partnercontrol
        since 03/2003 · owns 25% to 50%
      • P•••••• G••••••• M•••••• · Managing Directorcontrol
        since 07/2009 · owns less than 5%
      • B••••• L••••• M•••• · Membercontrol
        since 09/1999 · owns 75% or more of K•••••• I••••••••• L••
      • B••••• L••••• M•••• · Shareholdercontrol
        since 11/2002 · owns 75% or more of M•• G•••• H•••••••• I•••
      • C••••••• J•••• · Managing Membercontrol
        since 06/2003 · owns 75% or more of S••••••••• Holdings, LLC
      Entity owners
      • M•••• C•••••• M••••••••• L• · Limited Partner
        direct · owns 25% to 50%
      • K•••••• I••••••••• L•• · Member
        indirect · owns 25% to 50% of M•••• C•••••• H•••••••• L••
      • K•••••• M••••••••• I••••••••• L•• · Member
        indirect · owns 50% to 75% of M•••• C•••••• H•••••••• L••
      • M•• G•••• H•••••••• I••• · Member
        indirect · owns 75% or more of K•••••• Management Holdings, LLC
      • M•••• C•••••• A•••••••• L••••• · General Partner
        indirect · owns F of M•••• C•••••• M••••••••• L•
      • M•••• C•••••• H•••••••• L•• · Member
        indirect · owns 75% or more of M•••• C•••••• A•••••••• L•••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $121M to $52.0M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $121M to $52.0M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $121M to $52.0M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 21, 2017 to Mar 30, 2018
      • Employees · 4 to 5
        Mar 21, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 21, 2017 to Mar 30, 2018
      • Discretionary RAUM · $171M to $121M
        Mar 21, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 121060432.0
        Mar 21, 2017 to Mar 30, 2018
      • RAUM · $171M to $121M
        Mar 21, 2017 to Mar 30, 2018
      • HQ city · SOLANA BEACH to CARLSBAD
        Mar 2, 2016 to Mar 21, 2017
      • Discretionary RAUM · $182M to $171M
        Mar 2, 2016 to Mar 21, 2017
      • RAUM · $182M to $171M
        Mar 2, 2016 to Mar 21, 2017
      • Employees · 6 to 4
        Mar 5, 2015 to Mar 2, 2016
      • Discretionary RAUM · $175M to $182M
        Mar 5, 2015 to Mar 2, 2016
      • RAUM · $175M to $182M
        Mar 5, 2015 to Mar 2, 2016
      • Discretionary RAUM · $256M to $175M
        Mar 31, 2014 to Mar 5, 2015
      • RAUM · $256M to $175M
        Mar 31, 2014 to Mar 5, 2015
      • Accounts · 2 to 3
        Jun 28, 2013 to Mar 26, 2014
      • Employees · 5 to 6
        Jun 28, 2013 to Mar 26, 2014
      • Private funds · 2 to 3
        Jun 28, 2013 to Mar 26, 2014
      • Discretionary RAUM · $241M to $256M
        Jun 28, 2013 to Mar 26, 2014
      • RAUM · $241M to $256M
        Jun 28, 2013 to Mar 26, 2014
      • Advisory employees · unset to 3.0
        Feb 13, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Mar 26, 2013
      • Employees · unset to 5.0
        Feb 13, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Mar 26, 2013
      • Discretionary RAUM · $236M to $241M
        Feb 13, 2012 to Mar 26, 2013
      • RAUM · $236M to $241M
        Feb 13, 2012 to Mar 26, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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