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•• W••••• A•••••••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 169846SEC 801-80615IAPD
Legal name K•• W••••• A•••••••• L••
Latest filing Apr 13, 2023
First filing on the tape Dec 18, 2013 · 27 filings
RAUM
$350M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$331M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 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$350M as of Mar 14, 2023
Feb 6, 2015$114M then
HNW client RAUM$265M as of Mar 14, 2023
Feb 16, 2018$128M then
State-registered IARs (5.B.3)7 as of Mar 14, 2023
Feb 6, 20155 then
Employees (5.A)8 as of Mar 14, 2023
Feb 6, 20158 then
Private funds: no history
RAUM -9.6% over the last fiscal year+13% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Apr 13, 2023; every figure names its basis
RAUM per advisor
$50.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
49derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$366,516derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$155M, 215 clientsreportedItem 9.A
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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$265M76%
  • Individuals$65.2M19%
  • Pension and profit-sharing plans$19.0M5.4%
Individual clients
218reported
HNW clients
128reported
Pension plan clients
17reported
Charitable clients
n/areported
Accounts
954reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$155M for 215 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W••••••• K••••••• B•••• · Chief Compliance Officercontrol
      since 11/2013 · owns less than 5%
    • G•••••• L••••• A••• · Shareholdercontrol
      since 06/2014 · owns 75% or more of L•• F••••••••• I•••
    • W••••••• J•••••••• A•• · Trusteecontrol
      since 11/2013 · owns F of W••••••••• F••••• T•••• U•••• 1•••••••••
    • W••••••• K••••••• B•••• · Trusteecontrol
      since 11/2013 · owns F of W••••••••• F••••• T•••• U•••• 1•••••••••
    Entity owners
    • K••••••• C•••••• S••••••••• · Managing Member
      direct · owns 50% to 75%
    • L•• F••••••••• I••• · Managing Member
      direct · owns 25% to 50%
    • W••••••••• F••••• T•••• U•••• 1••••••••• · Shareholder
      indirect · owns 75% or more of K••••••• C•••••• S•••••••••
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Los Angeles, Ca · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 928 to 954
      Nov 4, 2022 to Mar 14, 2023
    • Advisory employees · 7 to 5
      Nov 4, 2022 to Mar 14, 2023
    • Advisory activities · 5 to 4
      Nov 4, 2022 to Mar 14, 2023
    • HNW clients · 114 to 128
      Nov 4, 2022 to Mar 14, 2023
    • Individual clients · 208 to 218
      Nov 4, 2022 to Mar 14, 2023
    • Pension plan clients · 16 to 17
      Nov 4, 2022 to Mar 14, 2023
    • Assets in custody · $161M to $155M
      Nov 4, 2022 to Mar 14, 2023
    • Financial planning clients · 101-250 to 251-500
      Nov 4, 2022 to Mar 14, 2023
    • Discretionary RAUM · $387M to $350M
      Nov 4, 2022 to Mar 14, 2023
    • HNW RAUM · $302M to $265M
      Nov 4, 2022 to Mar 14, 2023
    • Individual RAUM · $68.4M to $65.2M
      Nov 4, 2022 to Mar 14, 2023
    • Pension RAUM · $16.1M to $19.0M
      Nov 4, 2022 to Mar 14, 2023
    • RAUM · $387M to $350M
      Nov 4, 2022 to Mar 14, 2023
    • Accounts · 817 to 928
      Nov 5, 2021 to Feb 24, 2022
    • Advisory employees · 6 to 7
      Nov 5, 2021 to Feb 24, 2022
    • HNW clients · 81 to 114
      Nov 5, 2021 to Feb 24, 2022
    • Individual clients · 199 to 208
      Nov 5, 2021 to Feb 24, 2022
    • Pension plan clients · 8 to 16
      Nov 5, 2021 to Feb 24, 2022
    • Assets in custody · $67.6M to $161M
      Nov 5, 2021 to Feb 24, 2022
    • Employees · 9 to 8
      Nov 5, 2021 to Feb 24, 2022
    • Financial planning clients · 251-500 to 101-250
      Nov 5, 2021 to Feb 24, 2022
    • Discretionary RAUM · $272M to $387M
      Nov 5, 2021 to Feb 24, 2022
    • HNW RAUM · $188M to $302M
      Nov 5, 2021 to Feb 24, 2022
    • Individual RAUM · $71.7M to $68.4M
      Nov 5, 2021 to Feb 24, 2022
    • Pension RAUM · $12.1M to $16.1M
      Nov 5, 2021 to Feb 24, 2022
    • RAUM · $272M to $387M
      Nov 5, 2021 to Feb 24, 2022
    • Other offices · 1 to 0
      Mar 30, 2021 to Nov 5, 2021
    • Accounts · 752 to 817
      Jun 17, 2020 to Mar 30, 2021
    • HNW clients · 65 to 81
      Jun 17, 2020 to Mar 30, 2021
    • Individual clients · 204 to 199
      Jun 17, 2020 to Mar 30, 2021
    • Pension plan clients · 9 to 8
      Jun 17, 2020 to Mar 30, 2021
    • Assets in custody · $54.4M to $67.6M
      Jun 17, 2020 to Mar 30, 2021
    • Financial planning clients · 101-250 to 251-500
      Jun 17, 2020 to Mar 30, 2021
    • State-registered IARs · 6 to 7
      Jun 17, 2020 to Mar 30, 2021
    • Discretionary RAUM · $241M to $272M
      Jun 17, 2020 to Mar 30, 2021
    • HNW RAUM · $154M to $188M
      Jun 17, 2020 to Mar 30, 2021
    • Individual RAUM · $74.1M to $71.7M
      Jun 17, 2020 to Mar 30, 2021
    • Pension RAUM · $13.0M to $12.1M
      Jun 17, 2020 to Mar 30, 2021
    • RAUM · $241M to $272M
      Jun 17, 2020 to Mar 30, 2021
    • Accounts · 651 to 752
      Jul 31, 2019 to Feb 21, 2020
    Signals
    10 dated events
    • L•••• A• G••••• left K•• W••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-10-02)
      Oct 3, 2023 · Advisor changed firm · fact
    • K•••••• B•••• W•••••• left K•• W••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-10-02)
      Oct 3, 2023 · Advisor changed firm · fact
    • 2 advisors left K•• W••••• A••••••• (Los Angeles, CA) for W••••• E••••••••• A••••••• S•••••••• L•• on the same day
      Oct 3, 2023 · Team lift-out · derived
    • N••• V••••• N•••• left K•• W••••• A••••••• for B•••••• H•••• P•••••• W•••••• L•• (registered 2023-08-09)
      Jul 24, 2023 · Advisor changed firm · fact
    • K•••••• S•••••• S•••••• left K•• W••••• A••••••• for E•••••• F•••••••• (registered 2023-07-18)
      Jul 17, 2023 · Advisor changed firm · fact
    • S•••• C••••••••• G••••• left K•• W••••• A••••••• for N•••••••• L•• (registered 2023-07-14)
      Jul 17, 2023 · Advisor changed firm · fact
    • H••••• R••• N••• left K•• W••••• A••••••• for M••••• S•••••• (registered 2023-05-31)
      May 15, 2023 · Advisor changed firm · fact
    • K•• W••••• A••••••• reported RAUM $386.8M, up 42% from $272.2M (2021-11-05 to 2022-02-24)
      Feb 24, 2022 · RAUM change · derived
    • K•• W••••• A••••••• filed its initial SEC registration (Form ADV)
      Dec 18, 2013 · First SEC registration · fact
    • K•• W••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Dec 18, 2013 · Succession (Item 4) · 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