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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Former SEC-registered adviser

K••••••• A••••••• G••••

Former SEC-registered adviserBurlingame, CaliforniaCRD 168574SEC 801-78478IAPD
Legal name T•• M••••• T•••• I••
Latest filing Nov 8, 2013
First filing on the tape Aug 16, 2013 · 7 filings
RAUM
$35.0M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$17.5M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$35.0M as of Nov 8, 2013
Aug 16, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Nov 8, 2013
Aug 16, 20131 then
Employees (5.A)3 as of Nov 8, 2013
Aug 16, 20131 then
Private funds: no history
Practice profile
derived from the filing of Nov 8, 2013; every figure names its basis
RAUM per advisor
$17.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$239,726derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
146reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• L••• M•••••Hollister, CaOct 23, 201331 y4
A••••••• R••• V•••••••••Hollister, Ca Jun 3, 201415 y0
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• K••••• L••• · President & Chief Compliance Officercontrol
      since 02/2010 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Hollister, Ca200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 4 to 5
      Oct 21, 2013 to Nov 5, 2013
    • Employees · 1 to 3
      Oct 21, 2013 to Nov 5, 2013
    • Accounts · 0 to 146
      Sep 10, 2013 to Oct 21, 2013
    • Discretionary RAUM · $0 to $32.0M
      Sep 10, 2013 to Oct 21, 2013
    • Non-discretionary RAUM · $0 to $3.0M
      Sep 10, 2013 to Oct 21, 2013
    • RAUM · $0 to $35.0M
      Sep 10, 2013 to Oct 21, 2013
    Signals
    1 dated events
    • K••••••• A••••••• G•••• 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
    Website
    THEKEY2RETIRE.COMreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $17.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026