DFX Intelligence

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B•••••••• W•••• L••

Former SEC-registered adviserFormer SEC adviser· Santa Barbara, Californiawebsite

Former SEC-registered adviser, based in Santa Barbara, California, reporting $73.5M of regulatory assets across 2 registered advisors.

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

As of 2021-08-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $73.5M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: -22%
Private clients: 93%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2021-08-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 11 Aug 2021, RAUM $94.2M to $73.5M (-22.0%) on the Form ADV filed 11 Aug 2021, while advisors on the filing held at 3.

Every filed figure, and the identifiersCRD 167570 · SEC 801-77980 · 14 filingsShow

CRD 167570SEC 801-77980First filing on the tape Apr 15, 2013, latest Aug 11, 2021IAPD

RAUM

$73.5M

reported, Item 5.F

Discretionary

78%

of RAUM

Private clients

93%

$68.7M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$36.7M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM -17% a year over three years · the tape starts Apr 15, 2013

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$73.5M as of Mar 23, 2021

Mar 31, 2014$136M then

HNW client RAUM$66.6M as of Mar 23, 2021

Mar 29, 2018$116M then

State-registered IARs (5.B.3)3 as of Mar 23, 2021

Mar 31, 20140 then

Employees (5.A)4 as of Mar 23, 2021

Mar 31, 20144 then

Private funds: no history

RAUM -22% over the last fiscal year-17% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Aug 11, 2021; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $36.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 23derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $668,034derivedRAUM over accounts (5.F.2.f)
Discretionary: 78%derivedof RAUM
Institutional: 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -22%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +18%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, otherreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

91% high-net-worth individuals, 4.7% charitable organizations, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$66.6M91%
Charitable organizations$3.5M4.7%
Individuals$2.0M2.8%
Corporations and businesses$1.4M1.8%

Individual clients: 12reported
HNW clients: 33reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 110reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Where they went: the top destinations among the 1 most recent departures on the tape

W•••• F•••• A•••••••1 advisor

Left, latest

F•••• H•••••••• to W•••• F•••• A•••••••
Feb 12, 2019 · RIA to wirehouse

Joined, latest

J••••••• K•••••• W••• from M•••••• J• B•••••••• F•••••••• • E••••• P•••••••
Apr 19, 2013 · Other

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J••••••• K•••••• W•••Certified Financial Planner	Santa Barbara, Ca	Apr 19, 2013	13 y	1
H•••• N••••••• P••••Certified Financial Planner	Santa Barbara, Ca	Mar 27, 2018	13 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W•••• J•••••••• K•••••• · Member, Ccocontrol
since 03/2013 · 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
Santa Barbara, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory activities · 4 to 3
Jun 29, 2021 to Jul 30, 2021
Accounts · 125 to 110
Jun 30, 2020 to Mar 23, 2021
HNW clients · 23 to 33
Jun 30, 2020 to Mar 23, 2021
Individual clients · 15 to 12
Jun 30, 2020 to Mar 23, 2021
Discretionary RAUM · $50.4M to $57.3M
Jun 30, 2020 to Mar 23, 2021

Full history · 55 changes

HNW RAUM · $88.8M to $66.6M
Jun 30, 2020 to Mar 23, 2021
Individual RAUM · $4.8M to $2.0M
Jun 30, 2020 to Mar 23, 2021
Non-discretionary RAUM · $43.8M to $16.2M
Jun 30, 2020 to Mar 23, 2021
RAUM · $94.2M to $73.5M
Jun 30, 2020 to Mar 23, 2021
Accounts · 102 to 125
Mar 28, 2019 to Mar 31, 2020
HNW clients · 15 to 23
Mar 28, 2019 to Mar 31, 2020
Individual clients · 14 to 15
Mar 28, 2019 to Mar 31, 2020
Discretionary RAUM · $66.8M to $50.4M
Mar 28, 2019 to Mar 31, 2020
HNW RAUM · $91.1M to $88.8M
Mar 28, 2019 to Mar 31, 2020
Individual RAUM · $5.6M to $4.8M
Mar 28, 2019 to Mar 31, 2020
Non-discretionary RAUM · $31.7M to $43.8M
Mar 28, 2019 to Mar 31, 2020
RAUM · $98.5M to $94.2M
Mar 28, 2019 to Mar 31, 2020
Accounts · 98 to 102
Mar 29, 2018 to Mar 28, 2019
Advisory employees · 2 to 3
Mar 29, 2018 to Mar 28, 2019
HNW clients · 18 to 15
Mar 29, 2018 to Mar 28, 2019
Individual clients · 12 to 14
Mar 29, 2018 to Mar 28, 2019
Employees · 3 to 4
Mar 29, 2018 to Mar 28, 2019
State-registered IARs · 0 to 3
Mar 29, 2018 to Mar 28, 2019
Discretionary RAUM · $61.3M to $66.8M
Mar 29, 2018 to Mar 28, 2019
HNW RAUM · $116M to $91.1M
Mar 29, 2018 to Mar 28, 2019
Individual RAUM · $6.5M to $5.6M
Mar 29, 2018 to Mar 28, 2019
Non-discretionary RAUM · $65.9M to $31.7M
Mar 29, 2018 to Mar 28, 2019
RAUM · $127M to $98.5M
Mar 29, 2018 to Mar 28, 2019
Accounts · 88 to 98
Mar 31, 2017 to Mar 29, 2018
HNW clients · unset to 18.0
Mar 31, 2017 to Mar 29, 2018
Individual clients · unset to 12.0
Mar 31, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 31, 2017 to Mar 29, 2018
Discretionary RAUM · $51.3M to $61.3M
Mar 31, 2017 to Mar 29, 2018
HNW RAUM · unset to 115828507.0
Mar 31, 2017 to Mar 29, 2018
Individual RAUM · unset to 6486778.0
Mar 31, 2017 to Mar 29, 2018
Non-discretionary RAUM · $78.3M to $65.9M
Mar 31, 2017 to Mar 29, 2018
RAUM · $130M to $127M
Mar 31, 2017 to Mar 29, 2018
Accounts · 90 to 88
Mar 30, 2016 to Mar 31, 2017
Discretionary RAUM · $54.3M to $51.3M
Mar 30, 2016 to Mar 31, 2017
Non-discretionary RAUM · $67.9M to $78.3M
Mar 30, 2016 to Mar 31, 2017
RAUM · $122M to $130M
Mar 30, 2016 to Mar 31, 2017
Accounts · 94 to 90
Mar 30, 2015 to Mar 30, 2016
Discretionary RAUM · $55.6M to $54.3M
Mar 30, 2015 to Mar 30, 2016
Non-discretionary RAUM · $75.5M to $67.9M
Mar 30, 2015 to Mar 30, 2016
RAUM · $131M to $122M
Mar 30, 2015 to Mar 30, 2016
Accounts · 100 to 94
Mar 31, 2014 to Mar 30, 2015
Employees · 4 to 3
Mar 31, 2014 to Mar 30, 2015
Discretionary RAUM · $57.3M to $55.6M
Mar 31, 2014 to Mar 30, 2015
Non-discretionary RAUM · $79.0M to $75.5M
Mar 31, 2014 to Mar 30, 2015
RAUM · $136M to $131M
Mar 31, 2014 to Mar 30, 2015
Accounts · 105 to 100
Apr 15, 2013 to Mar 31, 2014
Discretionary RAUM · $51.8M to $57.3M
Apr 15, 2013 to Mar 31, 2014
Non-discretionary RAUM · $79.9M to $79.0M
Apr 15, 2013 to Mar 31, 2014
RAUM · $132M to $136M
Apr 15, 2013 to Mar 31, 2014
Succession · true to false
Apr 15, 2013 to Mar 31, 2014

Signals

3 dated events

••• Locked
Mar 28, 2019 · Control person left · inference
••• Locked
Apr 15, 2013 · Succession (Item 4) · fact
••• Locked
Apr 15, 2013 · 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: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $36.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026