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.

Former SEC-registered adviser

Klk Capital Management LLC

Former SEC-registered adviserLos Angeles, CaliforniaCRD 170571SEC 801-80666IAPD
Latest filing Mar 29, 2023
First filing on the tape Mar 11, 2014 · 33 filings
RAUM
$142M
reported, Item 5.F
Discretionary
59%
of RAUM
Private clients
46%
$65.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$142M as of Mar 29, 2023
Jan 29, 2015$113M then
HNW client RAUM$52.4M as of Mar 29, 2023
Mar 23, 2018$70.6M then
State-registered IARs (5.B.3)3 as of Mar 29, 2023
Jan 29, 20154 then
Employees (5.A)4 as of Mar 29, 2023
Jan 29, 20154 then
Private funds: no history
RAUM -11% over the last fiscal year-4.6% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 29, 2023; every figure names its basis
RAUM per advisor
$47.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
69derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$844,535derivedHNW RAUM over HNW clients
Average account
$501,095derivedRAUM over accounts (5.F.2.f)
Discretionary
59%derivedof RAUM
Institutional
53%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%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
Wrap fee program
$84.3MreportedItem 5.I
Custody
$36.4M, 98 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
  • Pension and profit-sharing plans$59.4M42%
  • High-net-worth individuals$52.4M37%
  • Charitable organizations$15.6M11%
  • Individuals$12.9M9.1%
  • Corporations and businesses$1.5M1.1%
Individual clients
146reported
HNW clients
62reported
Pension plan clients
23reported
Charitable clients
6reported
Accounts
283reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$36.4M for 98 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
Joined, 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
    • Jin Hyung Kim · Chief Executive Officer, Chief Compliance Officercontrol
      since 11/2017 · owns 75% or more
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    La Canada Flintridge, Ca000
    Los Angeles, Ca · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 227 to 283
      Oct 5, 2022 to Mar 29, 2023
    • Charity clients · 7 to 6
      Oct 5, 2022 to Mar 29, 2023
    • HNW clients · 57 to 62
      Oct 5, 2022 to Mar 29, 2023
    • Individual clients · 130 to 146
      Oct 5, 2022 to Mar 29, 2023
    • Pension plan clients · 24 to 23
      Oct 5, 2022 to Mar 29, 2023
    • Assets in custody · $36.6M to $36.4M
      Oct 5, 2022 to Mar 29, 2023
    • Discretionary RAUM · $106M to $84.3M
      Oct 5, 2022 to Mar 29, 2023
    • HNW RAUM · $64.8M to $52.4M
      Oct 5, 2022 to Mar 29, 2023
    • Individual RAUM · $16.5M to $12.9M
      Oct 5, 2022 to Mar 29, 2023
    • Non-discretionary RAUM · $53.4M to $57.5M
      Oct 5, 2022 to Mar 29, 2023
    • Pension RAUM · $55.9M to $59.4M
      Oct 5, 2022 to Mar 29, 2023
    • RAUM · $159M to $142M
      Oct 5, 2022 to Mar 29, 2023
    • Related adviser · false to true
      Oct 5, 2022 to Mar 29, 2023
    • Accounts · 241 to 227
      Mar 15, 2021 to Mar 11, 2022
    • Advisory employees · 4 to 3
      Mar 15, 2021 to Mar 11, 2022
    • Charity clients · 6 to 7
      Mar 15, 2021 to Mar 11, 2022
    • Corporate clients · 7 to 9
      Mar 15, 2021 to Mar 11, 2022
    • HNW clients · 89 to 57
      Mar 15, 2021 to Mar 11, 2022
    • Individual clients · 111 to 130
      Mar 15, 2021 to Mar 11, 2022
    • Pension plan clients · 28 to 24
      Mar 15, 2021 to Mar 11, 2022
    • Assets in custody · $39.8M to $36.6M
      Mar 15, 2021 to Mar 11, 2022
    • State-registered IARs · 2 to 3
      Mar 15, 2021 to Mar 11, 2022
    • Discretionary RAUM · $117M to $106M
      Mar 15, 2021 to Mar 11, 2022
    • HNW RAUM · $86.3M to $64.8M
      Mar 15, 2021 to Mar 11, 2022
    • Individual RAUM · $13.8M to $16.5M
      Mar 15, 2021 to Mar 11, 2022
    • Non-discretionary RAUM · $42.5M to $53.4M
      Mar 15, 2021 to Mar 11, 2022
    • Pension RAUM · $44.4M to $55.9M
      Mar 15, 2021 to Mar 11, 2022
    • RAUM · $160M to $159M
      Mar 15, 2021 to Mar 11, 2022
    • Accounts · 210 to 241
      Jul 1, 2020 to Mar 15, 2021
    • Advisory employees · 3 to 4
      Jul 1, 2020 to Mar 15, 2021
    • Charity clients · 7 to 6
      Jul 1, 2020 to Mar 15, 2021
    • HNW clients · 81 to 89
      Jul 1, 2020 to Mar 15, 2021
    • Individual clients · 79 to 111
      Jul 1, 2020 to Mar 15, 2021
    • Pension plan clients · 36 to 28
      Jul 1, 2020 to Mar 15, 2021
    • Assets in custody · $36.6M to $39.8M
      Jul 1, 2020 to Mar 15, 2021
    • Employees · 3 to 4
      Jul 1, 2020 to Mar 15, 2021
    • Financial planning clients · 1-10 to 0
      Jul 1, 2020 to Mar 15, 2021
    • HQ city · IRVINE to LOS ANGELES
      Jul 1, 2020 to Mar 15, 2021
    • State-registered IARs · 3 to 2
      Jul 1, 2020 to Mar 15, 2021
    • Discretionary RAUM · $110M to $117M
      Jul 1, 2020 to Mar 15, 2021
    Signals
    4 dated events
    • Leon Chang Soo Kim left Klk Capital Management Llc for Dfpg Investments, Llc (registered 2023-08-25)
      Dec 31, 2023 · Advisor changed firm · fact
    • Hyung Jin Kim left Klk Capital Management Llc for Dfpg Investments, Llc (registered 2023-08-25)
      Dec 31, 2023 · Advisor changed firm · fact
    • 2 advisors left Klk Capital Management LLC (Los Angeles, CA) for Dfpg Investments, LLC on the same day
      Dec 31, 2023 · Team lift-out · derived
    • Klk Capital Advisors Llc filed its initial SEC registration (Form ADV)
      Mar 11, 2014 · 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