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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I••••••••• M••••••• G••••• L••
Latest filing Mar 23, 2026
First filing on the tape May 3, 2012 · 6 filings
SEC status approved since Nov 18, 2025
RAUM
$117M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$117M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$117M as of Mar 23, 2026
Nov 14, 2025$110M then
HNW client RAUM$80.5M as of Mar 23, 2026
Nov 14, 2025$74.4M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Nov 14, 20252 then
Employees (5.A)2 as of Mar 23, 2026
Nov 14, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $58.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 122derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $221,131derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 2.0derived1 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 individualsreportedItem 5.G
- Custody
- $30.8M, 132 clientsreportedItem 9.A
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$80.5M69%
- Individuals$36.2M31%
- Individual clients
- 184reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 528reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.8M for 132 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• J•••• K•• | Temecula, Ca | May 30, 2012 | 18 y | 1 |
| A•••• M•••••• K•• | Temecula, Ca | Nov 27, 2012 | 23 y | 3 |
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
- A•••• M•••••• K•• from A••••••• M•••• M••••••••• L••Nov 27, 2012 · Other
- T•••••• J•••• K•• from W•••• F•••• A•••••••May 30, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••• T••••••• J•••• · Managing Member & Chief Compliance Officercontrolsince 05/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Temecula, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 23, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 439 to 528Nov 14, 2025 to Mar 23, 2026
- HNW clients · 67 to 60Nov 14, 2025 to Mar 23, 2026
- Individual clients · 188 to 184Nov 14, 2025 to Mar 23, 2026
- Assets in custody · $22.4M to $30.8MNov 14, 2025 to Mar 23, 2026
- Financial planning clients · to 0Nov 14, 2025 to Mar 23, 2026
- HNW RAUM · $74.4M to $80.5MNov 14, 2025 to Mar 23, 2026
- Individual RAUM · $35.6M to $36.2MNov 14, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $110M to $117MNov 14, 2025 to Mar 23, 2026
- RAUM · $110M to $117MNov 14, 2025 to Mar 23, 2026
- Accounts · 210 to 439Oct 12, 2012 to Nov 14, 2025
- Advisory employees · unset to 2.0Oct 12, 2012 to Nov 14, 2025
- Advisory activities · 2 to 1Oct 12, 2012 to Nov 14, 2025
- BD registered reps · unset to 1.0Oct 12, 2012 to Nov 14, 2025
- HNW clients · unset to 67.0Oct 12, 2012 to Nov 14, 2025
- Individual clients · unset to 188.0Oct 12, 2012 to Nov 14, 2025
- Commission compensation · true to falseOct 12, 2012 to Nov 14, 2025
- Assets in custody · unset to 22357270.0Oct 12, 2012 to Nov 14, 2025
- Custody of client assets · false to trueOct 12, 2012 to Nov 14, 2025
- Employees · unset to 2.0Oct 12, 2012 to Nov 14, 2025
- Financial planning clients · 0 to Oct 12, 2012 to Nov 14, 2025
- State-registered IARs · unset to 2.0Oct 12, 2012 to Nov 14, 2025
- Other offices · unset to 0.0Oct 12, 2012 to Nov 14, 2025
- HNW RAUM · unset to 74437281.0Oct 12, 2012 to Nov 14, 2025
- Individual RAUM · unset to 35614526.0Oct 12, 2012 to Nov 14, 2025
- Non-discretionary RAUM · $32.0M to $110MOct 12, 2012 to Nov 14, 2025
- RAUM · $32.0M to $110MOct 12, 2012 to Nov 14, 2025
- Related broker-dealer · false to trueOct 12, 2012 to Nov 14, 2025
- Accounts · 0 to 210Sep 19, 2012 to Oct 12, 2012
- Advisory activities · 1 to 2Sep 19, 2012 to Oct 12, 2012
- Financial planning clients · unset to 0Sep 19, 2012 to Oct 12, 2012
- Non-discretionary RAUM · $0 to $32.0MSep 19, 2012 to Oct 12, 2012
- RAUM · $0 to $32.0MSep 19, 2012 to Oct 12, 2012
- Financial planning clients · 0 to unsetMay 25, 2012 to Sep 19, 2012
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
- 951-225-3260reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- i•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 951-225-3260reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- i•••••••••.comreportedpublished by the firm, firm site, Sep 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
- $58.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026