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
A••••• W•• F••••••••
Legal name A••••• W•• F•••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Sep 6, 2024 · 5 filings
SEC status approved since Oct 10, 2024
RAUM
$143M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
86%
$122M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$143M
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
5 filings and snapshots on the tape
RAUM$143M as of Mar 23, 2026
Mar 15, 2025$124M then
HNW client RAUM$55.3M as of Mar 23, 2026
Mar 15, 2025$47.7M then
State-registered IARs (5.B.3)1 as of Mar 23, 2026
Mar 15, 20251 then
Employees (5.A)1 as of Mar 23, 2026
Mar 15, 20251 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 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
- $143MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $452,123derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 14%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- 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
- Individuals$66.9M47%
- High-net-worth individuals$55.3M39%
- Charitable organizations$20.7M14%
- Individual clients
- 81reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 316reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 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 |
|---|---|---|---|---|
| K•••• D•••• S•••••••Certified Financial Planner | Pasadena, Ca | Jan 1, 2026 | 24 y | 4 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- K•••• D•••• S••••••• from B••••• A••••••• L••Jan 1, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• K••••• D•••• · Principal/Chief Compliance Officer/Managing Membercontrolsince 06/2013 · 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 · 301 to 316Mar 15, 2025 to Mar 23, 2026
- HNW clients · 25 to 23Mar 15, 2025 to Mar 23, 2026
- Individual clients · 75 to 81Mar 15, 2025 to Mar 23, 2026
- Discretionary RAUM · $122M to $138MMar 15, 2025 to Mar 23, 2026
- HNW RAUM · $47.7M to $55.3MMar 15, 2025 to Mar 23, 2026
- Individual RAUM · $52.9M to $66.9MMar 15, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $2.0M to $4.9MMar 15, 2025 to Mar 23, 2026
- RAUM · $124M to $143MMar 15, 2025 to Mar 23, 2026
- Accounts · 304 to 301Nov 12, 2024 to Mar 15, 2025
- Individual clients · 73 to 75Nov 12, 2024 to Mar 15, 2025
- Financial planning clients · 0 to 1-10Nov 12, 2024 to Mar 15, 2025
- Discretionary RAUM · $119M to $122MNov 12, 2024 to Mar 15, 2025
- HNW RAUM · $62.2M to $47.7MNov 12, 2024 to Mar 15, 2025
- Individual RAUM · $36.2M to $52.9MNov 12, 2024 to Mar 15, 2025
- Non-discretionary RAUM · $1.7M to $2.0MNov 12, 2024 to Mar 15, 2025
- RAUM · $121M to $124MNov 12, 2024 to Mar 15, 2025
Signals
1 dated events
- A••••• W•• F•••••••• filed its initial SEC registration (Form ADV)Sep 6, 2024 · 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
- Principal office phone
- (626) 210-2660reportedpublic record, Form ADV, Mar 23, 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
- $143Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026