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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SEC-registered adviser
O•••••• I••••••••• L••
Latest filing Feb 5, 2026
First filing on the tape Jun 8, 2023 · 8 filings
SEC status approved since Jul 7, 2023
RAUM
$327M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
87%
$285M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$327M
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
8 filings and snapshots on the tape
RAUM$327M as of Feb 5, 2026
Feb 21, 2024$192M then
HNW client RAUM$281M as of Feb 5, 2026
Feb 21, 2024$169M then
State-registered IARs (5.B.3)1 as of Feb 5, 2026
Feb 21, 20241 then
Employees (5.A)1 as of Feb 5, 2026
Feb 21, 20241 then
Private funds: no history
RAUM +31% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 5, 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
- $327MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$281M86%
- Corporations and businesses$42.4M13%
- Individuals$3.4M1.1%
- Individual clients
- 11reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 294reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 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 |
|---|---|---|---|---|
| A•••• K••••••• | Las Vegas, Nv | Apr 28, 2014 | 24 y | 0 |
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
- B•••• N•• W• to E•••••••• C•••••• P••••••• L••Jul 7, 2016 · RIA to RIA
Joined, latest
- B•••• N•• W• from C•••••• W••••• M•••••••••May 22, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• A•••• · Managing Member - Ccocontrolsince 04/2013 · 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 · 267 to 294Mar 4, 2025 to Feb 5, 2026
- HNW clients · 54 to 60Mar 4, 2025 to Feb 5, 2026
- Individual clients · 9 to 11Mar 4, 2025 to Feb 5, 2026
- Discretionary RAUM · $249M to $324MMar 4, 2025 to Feb 5, 2026
- HNW RAUM · $207M to $281MMar 4, 2025 to Feb 5, 2026
- Individual RAUM · $1.8M to $3.4MMar 4, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $0 to $2.7MMar 4, 2025 to Feb 5, 2026
- RAUM · $249M to $327MMar 4, 2025 to Feb 5, 2026
- Accounts · 223 to 267Feb 21, 2024 to Mar 4, 2025
- Corporate clients · 1 to 2Feb 21, 2024 to Mar 4, 2025
- HNW clients · 49 to 54Feb 21, 2024 to Mar 4, 2025
- Individual clients · 8 to 9Feb 21, 2024 to Mar 4, 2025
- Financial planning clients · unset to Feb 21, 2024 to Mar 4, 2025
- HQ city · unset to Feb 21, 2024 to Mar 4, 2025
- HQ state · unset to Feb 21, 2024 to Mar 4, 2025
- Discretionary RAUM · $192M to $249MFeb 21, 2024 to Mar 4, 2025
- HNW RAUM · $169M to $207MFeb 21, 2024 to Mar 4, 2025
- Individual RAUM · $1.0M to $1.8MFeb 21, 2024 to Mar 4, 2025
- RAUM · $192M to $249MFeb 21, 2024 to Mar 4, 2025
- Accounts · 186 to 223Jun 16, 2023 to Feb 21, 2024
- Corporate clients · unset to 1.0Jun 16, 2023 to Feb 21, 2024
- HNW clients · 42 to 49Jun 16, 2023 to Feb 21, 2024
- Individual clients · 10 to 8Jun 16, 2023 to Feb 21, 2024
- Discretionary RAUM · $122M to $192MJun 16, 2023 to Feb 21, 2024
- HNW RAUM · $124M to $169MJun 16, 2023 to Feb 21, 2024
- Individual RAUM · $1.8M to $1.0MJun 16, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $3.8M to $0Jun 16, 2023 to Feb 21, 2024
- RAUM · $126M to $192MJun 16, 2023 to Feb 21, 2024
Signals
1 dated events
- O•••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 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
- O••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 775-241-8140reportedpublic record, Form ADV, Feb 5, 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
- $327Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026