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.
Former SEC-registered adviser
T•• K••••• G••••• L••
Latest filing Mar 27, 2024
First filing on the tape Jul 10, 2013 · 18 filings
RAUM
$92.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$92.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
18 filings and snapshots on the tape
RAUM$92.7M as of Mar 27, 2024
Mar 10, 2014$122M then
HNW client RAUM$79.1M as of Mar 27, 2024
Mar 19, 2018$79.6M then
State-registered IARs (5.B.3)1 as of Mar 27, 2024
Mar 10, 20142 then
Employees (5.A)1 as of Mar 27, 2024
Mar 10, 20142 then
Private funds: no history
RAUM -20% over the last fiscal year-9.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $92.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $443,563derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- -20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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$79.1M85%
- Individuals$13.1M14%
- Corporations and businesses$530,8430.6%
- Individual clients
- 39reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 209reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- J••••• J•••• N•••••••• to I•••••• I••••••••• C••••••Dec 19, 2024 · RIA to RIA
Joined, latest
- J••••• J•••• N•••••••• from U•• F•••••••• S••••••• I•••Aug 30, 2013 · 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•••••• P•••• W•••••• · The Estate Of P••• W. K•••••, Membercontrolsince 08/2013 · owns 75% or more
- N••••••••• J•••••• J•••• · Managing Member And Chief Compliance Officercontrolsince 08/2013 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 246 to 209Mar 10, 2023 to Mar 27, 2024
- HNW clients · 20 to 32Mar 10, 2023 to Mar 27, 2024
- Individual clients · 54 to 39Mar 10, 2023 to Mar 27, 2024
- Financial planning clients · 51-100 to 0Mar 10, 2023 to Mar 27, 2024
- Discretionary RAUM · $116M to $92.7MMar 10, 2023 to Mar 27, 2024
- HNW RAUM · $77.2M to $79.1MMar 10, 2023 to Mar 27, 2024
- Individual RAUM · $38.6M to $13.1MMar 10, 2023 to Mar 27, 2024
- RAUM · $116M to $92.7MMar 10, 2023 to Mar 27, 2024
- Accounts · 284 to 246Mar 29, 2022 to Mar 10, 2023
- BD registered reps · 2 to 1Mar 29, 2022 to Mar 10, 2023
- HNW clients · 43 to 20Mar 29, 2022 to Mar 10, 2023
- Individual clients · 46 to 54Mar 29, 2022 to Mar 10, 2023
- Employees · 2 to 1Mar 29, 2022 to Mar 10, 2023
- State-registered IARs · 2 to 1Mar 29, 2022 to Mar 10, 2023
- Discretionary RAUM · $127M to $116MMar 29, 2022 to Mar 10, 2023
- HNW RAUM · $111M to $77.2MMar 29, 2022 to Mar 10, 2023
- Individual RAUM · $15.6M to $38.6MMar 29, 2022 to Mar 10, 2023
- RAUM · $127M to $116MMar 29, 2022 to Mar 10, 2023
- Accounts · 277 to 284Mar 12, 2021 to Mar 29, 2022
- HNW clients · 45 to 43Mar 12, 2021 to Mar 29, 2022
- Individual clients · 230 to 46Mar 12, 2021 to Mar 29, 2022
- Discretionary RAUM · $125M to $127MMar 12, 2021 to Mar 29, 2022
- HNW RAUM · $71.9M to $111MMar 12, 2021 to Mar 29, 2022
- Individual RAUM · $52.1M to $15.6MMar 12, 2021 to Mar 29, 2022
- RAUM · $125M to $127MMar 12, 2021 to Mar 29, 2022
- Accounts · 298 to 277Jun 4, 2020 to Mar 12, 2021
- Advisory employees · 2 to 1Jun 4, 2020 to Mar 12, 2021
- Corporate clients · 3.0 to unsetJun 4, 2020 to Mar 12, 2021
- Individual clients · 46 to 230Jun 4, 2020 to Mar 12, 2021
- State-registered IARs · 0 to 2Jun 4, 2020 to Mar 12, 2021
- Discretionary RAUM · $124M to $125MJun 4, 2020 to Mar 12, 2021
- HNW RAUM · $108M to $71.9MJun 4, 2020 to Mar 12, 2021
- Individual RAUM · $14.4M to $52.1MJun 4, 2020 to Mar 12, 2021
- RAUM · $124M to $125MJun 4, 2020 to Mar 12, 2021
- Accounts · 306 to 298Feb 26, 2019 to Feb 14, 2020
- Corporate clients · unset to 3.0Feb 26, 2019 to Feb 14, 2020
- HNW clients · 47 to 45Feb 26, 2019 to Feb 14, 2020
- Individual clients · 41 to 46Feb 26, 2019 to Feb 14, 2020
- Financial planning clients · 26-50 to 51-100Feb 26, 2019 to Feb 14, 2020
- Discretionary RAUM · $112M to $124MFeb 26, 2019 to Feb 14, 2020
Signals
2 dated events
- J••••• J•••• N•••••••• left T•• K••••• G••••• L•• for I•••••• I••••••••• C•••••• (registered 2025-10-17)Dec 19, 2024 · Advisor changed firm · fact
- B•••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 10, 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.
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