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
B••••• T••• A•••• M••••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Aug 16, 2013 · 27 filings
SEC status approved since Aug 22, 2013
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$934M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$344M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.0B as of Apr 30, 2026
Mar 31, 2014$320M then
HNW client RAUM$934M as of Apr 30, 2026
Mar 30, 2018$738M then
State-registered IARs (5.B.3)2 as of Apr 30, 2026
Mar 31, 20143 then
Employees (5.A)5 as of Apr 30, 2026
Mar 31, 20144 then
Private funds: no history
RAUM +1.9% over the last fiscal year-0.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 30, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $344MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $20.3MderivedHNW RAUM over HNW clients
- Average account
- $10.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$934M90%
- Pooled investment vehicles$98.8M9.6%
- Individual clients
- 0reported
- HNW clients
- 46reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 98reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.1 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• R•••••• G••••••• | Torrance, Ca | Sep 17, 2013 | 23 y | 0 |
| K•••••• N•• N•••• | Torrance, Ca | Sep 20, 2013 | 27 y | 1 |
| A••• G•••••• W••••••••• | Torrance, Ca | Jul 12, 2024 | 13 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
- M•••••• A•••••• S•••••• to L•••Nov 8, 2019 · RIA to RIA
Joined, latest
- K•••••• N•• N•••• from B•• A•• I••••••••• A••••••• L••Sep 20, 2013 · Other
- M•••••• A•••••• S•••••• from A••••••• S••••••••• I•••Sep 17, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• B••••• R•••••• · Managing Director, Membercontrolsince 09/2013 · owns 10% to 25%
- N••••• K••••••• N•• · Managing Director, Elected Manager, Chief Compliance Officercontrolsince 07/2013 · owns less than 5%
- N••••• K••••••• N•• · Co-Trusteecontrolsince 07/2013 · owns 50% to 75% of K•••••• N•••• And C•••••• N•••• Trust
- B••••• D••••• V••• · Chief Operating Officersince 07/2024 · owns less than 5%
- C•••• A•••• H•••••••• · Chief Operating Officersince 01/2020 · owns less than 5%
- N••••• C••••••• M••••• · Co-Trusteesince 07/2013 · owns 50% to 75% of K•••••• N•••• And C•••••• N•••• Trust
Entity owners
- K•••••• N•••• • C•••••• N•••• T•••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••••• T••• S••••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Torrance, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 89 to 98Apr 30, 2025 to Mar 30, 2026
- HNW clients · 43 to 46Apr 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.0B to $1.0BApr 30, 2025 to Mar 30, 2026
- HNW RAUM · $918M to $934MApr 30, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $95.3M to $98.8MApr 30, 2025 to Mar 30, 2026
- RAUM · $1.0B to $1.0BApr 30, 2025 to Mar 30, 2026
- Accounts · 94 to 89Mar 27, 2024 to Apr 30, 2025
- HNW clients · 47 to 43Mar 27, 2024 to Apr 30, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Apr 30, 2025
- Discretionary RAUM · $1.1B to $1.0BMar 27, 2024 to Apr 30, 2025
- HNW RAUM · $977M to $918MMar 27, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $81.9M to $95.3MMar 27, 2024 to Apr 30, 2025
- RAUM · $1.1B to $1.0BMar 27, 2024 to Apr 30, 2025
- Accounts · 85 to 94Jun 29, 2023 to Mar 27, 2024
- HNW clients · 42 to 47Jun 29, 2023 to Mar 27, 2024
- Pooled vehicle clients · 0 to 1Jun 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.0B to $1.1BJun 29, 2023 to Mar 27, 2024
- HNW RAUM · $1.0B to $977MJun 29, 2023 to Mar 27, 2024
- Individual RAUM · $655,080 to $0Jun 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · unset to 81850231.0Jun 29, 2023 to Mar 27, 2024
- RAUM · $1.0B to $1.1BJun 29, 2023 to Mar 27, 2024
- Accounts · 92 to 85Mar 31, 2022 to Mar 17, 2023
- HNW clients · 40 to 42Mar 31, 2022 to Mar 17, 2023
- Discretionary RAUM · $1.1B to $1.0BMar 31, 2022 to Mar 17, 2023
- HNW RAUM · $1.1B to $1.0BMar 31, 2022 to Mar 17, 2023
- Individual RAUM · $706,948 to $655,080Mar 31, 2022 to Mar 17, 2023
- RAUM · $1.1B to $1.0BMar 31, 2022 to Mar 17, 2023
- Accounts · 94 to 92Mar 29, 2021 to Mar 30, 2022
- HNW clients · 38 to 40Mar 29, 2021 to Mar 30, 2022
- State-registered IARs · 4 to 2Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.1B to $1.1BMar 29, 2021 to Mar 30, 2022
- HNW RAUM · $1.1B to $1.1BMar 29, 2021 to Mar 30, 2022
- Individual RAUM · $696,221 to $706,948Mar 29, 2021 to Mar 30, 2022
- RAUM · $1.1B to $1.1BMar 29, 2021 to Mar 30, 2022
- BD registered reps · 2 to 4Jun 30, 2020 to Mar 29, 2021
- HNW clients · 35 to 38Jun 30, 2020 to Mar 29, 2021
- State-registered IARs · 2 to 4Jun 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $1.0B to $1.1BJun 30, 2020 to Mar 29, 2021
- HNW RAUM · $1.0B to $1.1BJun 30, 2020 to Mar 29, 2021
- Individual RAUM · $679,283 to $696,221Jun 30, 2020 to Mar 29, 2021
Signals
2 dated events
- A•••••• M•••••• S•••••• (Chief Operating Officer / Chief Compliance Officer) no longer on Schedule A of B••••• T••• A•••• M••••••••• L•• (listed 2019-06-26, absent 2019-11-13)Nov 13, 2019 · Control person left · inference
- B••••• T••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 16, 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
- Business email
- info@b•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-255-1800reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-477-0111reportedpublic record, Form ADV, Apr 30, 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
- $344Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026