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••••••••• I•••

Former SEC-registered adviserChico, CaliforniaCRD 170687SEC 801-112845IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 15, 2018 · 10 filings
RAUM
$574M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
4.2%
$23.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$574M as of Mar 31, 2022
Mar 19, 2019$260M then
HNW client RAUM$13.9M as of Mar 31, 2022
Mar 19, 2019$1.1M then
State-registered IARs (5.B.3)4 as of Mar 31, 2022
Mar 19, 20193 then
Employees (5.A)4 as of Mar 31, 2022
Mar 19, 20195 then
Private funds: no history
RAUM +22% over the last fiscal year+30% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$143MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
20derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
95%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+13%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
Wrap fee program
$41.6MreportedItem 5.I
Custody
$2.7M, 7 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$547M95%
  • High-net-worth individuals$13.9M2.4%
  • Individuals$9.9M1.7%
  • Corporations and businesses$2.6M0.4%
Individual clients
68reported
HNW clients
11reported
Pension plan clients
160reported
Charitable clients
n/areported
Accounts
240reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$2.7M for 7 clientsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• E•••• T• · Co-Founder And Chief Compliance Officercontrol
      since 01/2014 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 213 to 240
      May 12, 2021 to Mar 31, 2022
    • HNW clients · 17 to 11
      May 12, 2021 to Mar 31, 2022
    • Individual clients · 53 to 68
      May 12, 2021 to Mar 31, 2022
    • Pension plan clients · 126 to 160
      May 12, 2021 to Mar 31, 2022
    • Discretionary RAUM · $468M to $568M
      May 12, 2021 to Mar 31, 2022
    • HNW RAUM · $11.8M to $13.9M
      May 12, 2021 to Mar 31, 2022
    • Individual RAUM · $5.7M to $9.9M
      May 12, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $509,167 to $5.5M
      May 12, 2021 to Mar 31, 2022
    • Pension RAUM · $450M to $547M
      May 12, 2021 to Mar 31, 2022
    • RAUM · $469M to $574M
      May 12, 2021 to Mar 31, 2022
    • Accounts · 166 to 213
      Sep 2, 2020 to Mar 3, 2021
    • Corporate clients · unset to 1.0
      Sep 2, 2020 to Mar 3, 2021
    • HNW clients · 12 to 17
      Sep 2, 2020 to Mar 3, 2021
    • Individual clients · 52 to 53
      Sep 2, 2020 to Mar 3, 2021
    • Pension plan clients · 100 to 126
      Sep 2, 2020 to Mar 3, 2021
    • Assets in custody · unset to 2720374.0
      Sep 2, 2020 to Mar 3, 2021
    • Custody of client assets · false to true
      Sep 2, 2020 to Mar 3, 2021
    • Discretionary RAUM · $398M to $468M
      Sep 2, 2020 to Mar 3, 2021
    • HNW RAUM · $6.9M to $11.8M
      Sep 2, 2020 to Mar 3, 2021
    • Individual RAUM · $4.6M to $5.7M
      Sep 2, 2020 to Mar 3, 2021
    • Non-discretionary RAUM · $488,416 to $509,167
      Sep 2, 2020 to Mar 3, 2021
    • Pension RAUM · $386M to $450M
      Sep 2, 2020 to Mar 3, 2021
    • RAUM · $399M to $469M
      Sep 2, 2020 to Mar 3, 2021
    • Accounts · 146 to 166
      Jun 10, 2020 to Sep 2, 2020
    • HNW clients · 8 to 12
      Jun 10, 2020 to Sep 2, 2020
    • Individual clients · 53 to 52
      Jun 10, 2020 to Sep 2, 2020
    • Pension plan clients · 83 to 100
      Jun 10, 2020 to Sep 2, 2020
    • Employees · 5 to 4
      Jun 10, 2020 to Sep 2, 2020
    • Discretionary RAUM · $407M to $398M
      Jun 10, 2020 to Sep 2, 2020
    • HNW RAUM · $5.2M to $6.9M
      Jun 10, 2020 to Sep 2, 2020
    • Individual RAUM · $6.9M to $4.6M
      Jun 10, 2020 to Sep 2, 2020
    • Non-discretionary RAUM · $400,992 to $488,416
      Jun 10, 2020 to Sep 2, 2020
    • Pension RAUM · $394M to $386M
      Jun 10, 2020 to Sep 2, 2020
    • RAUM · $408M to $399M
      Jun 10, 2020 to Sep 2, 2020
    • Accounts · 136 to 146
      Dec 10, 2019 to Mar 25, 2020
    • Advisory employees · 3 to 4
      Dec 10, 2019 to Mar 25, 2020
    • HNW clients · unset to 8.0
      Dec 10, 2019 to Mar 25, 2020
    • Individual clients · 63 to 53
      Dec 10, 2019 to Mar 25, 2020
    • Pension plan clients · 71 to 83
      Dec 10, 2019 to Mar 25, 2020
    • State-registered IARs · 3 to 4
      Dec 10, 2019 to Mar 25, 2020
    Signals
    3 dated events
    • M•••• G•••• M•••• left K••••••••• I••• for G••••• R••••••••• P••••••• L•• (registered 2022-02-23)
      Dec 31, 2022 · Advisor changed firm · fact
    • K••••••••• I••• reported RAUM $407.6M, up 57% from $259.9M (2019-12-10 to 2020-03-25)
      Mar 25, 2020 · RAUM change · derived
    • K••••••••• I••• filed its initial SEC registration (Form ADV)
      Mar 15, 2018 · 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