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
C•••••• C••••••
Legal name C•••••• C••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Feb 9, 2021 · 14 filings
SEC status approved since Mar 11, 2021
RAUM
$347M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$347M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$69.3M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$347M as of Mar 16, 2026
Mar 14, 2022$192M then
HNW client RAUM$315M as of Mar 16, 2026
Mar 14, 2022$162M then
State-registered IARs (5.B.3)6 as of Mar 16, 2026
Mar 14, 20225 then
Employees (5.A)8 as of Mar 16, 2026
Mar 14, 20225 then
Private funds: no history
RAUM +25% over the last fiscal year+27% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
- RAUM per advisor
- $69.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $541,729derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 0.8derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $113,582, 3 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$315M91%
- Individuals$32.0M9.2%
- Individual clients
- 66reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 640reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $113,582 for 3 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R••••• K••••••••Certified Financial Planner | San Francisco, Ca | Jan 4, 2016 | 15 y | 1 |
| K••••••• A•• P•••••Certified Financial Planner | Columbus, Ga | Jul 19, 2021 | 11 y | 0 |
| N••••••• L•••••••••Certified Financial Planner | Huntington Beach, Ca | Feb 4, 2022 | 10 y | 0 |
| S••••••• M•••••••Certified Financial Planner | San Francisco, Ca | Apr 12, 2023 | 19 y | 0 |
| R••• S••••••• C•••Certified Financial Planner | San Francisco, Ca | Jan 14, 2026 | 14 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K•••••••• L••••• M••••• to M••••• F•••••••• P••••••• L••Jan 26, 2023 · RIA to a state-registered adviser
- S••• M••••• to J••• • C•••• L••Mar 4, 2022 · RIA to a state-registered adviser
Joined, latest
- R••• S••••••• C••• from A••••••• A••••••• S•••••••Jan 14, 2026 · Other
- J••••• R••••• K•••••••• from A••••••• A••••••• S•••••••Jan 4, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• R•••• S••••••• · Managing Partner/Co-Member Managercontrolsince 04/2014 · owns 50% to 75%
- K••••••••• J•••••• R••••• · Managing Partner/Chief Compliance Officer/Co-Member Managercontrolsince 12/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 580 to 640Mar 18, 2025 to Mar 16, 2026
- Advisory employees · 5 to 6Mar 18, 2025 to Mar 16, 2026
- HNW clients · 67 to 75Mar 18, 2025 to Mar 16, 2026
- Individual clients · 60 to 66Mar 18, 2025 to Mar 16, 2026
- Assets in custody · $493,706 to $113,582Mar 18, 2025 to Mar 16, 2026
- Employees · 7 to 8Mar 18, 2025 to Mar 16, 2026
- State-registered IARs · 5 to 6Mar 18, 2025 to Mar 16, 2026
- Discretionary RAUM · $278M to $347MMar 18, 2025 to Mar 16, 2026
- HNW RAUM · $253M to $315MMar 18, 2025 to Mar 16, 2026
- Individual RAUM · $24.7M to $32.0MMar 18, 2025 to Mar 16, 2026
- RAUM · $278M to $347MMar 18, 2025 to Mar 16, 2026
- Accounts · 515 to 580Jan 31, 2024 to Mar 18, 2025
- HNW clients · 58 to 67Jan 31, 2024 to Mar 18, 2025
- Individual clients · 68 to 60Jan 31, 2024 to Mar 18, 2025
- Assets in custody · $869,781 to $493,706Jan 31, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 101-250Jan 31, 2024 to Mar 18, 2025
- Discretionary RAUM · $195M to $278MJan 31, 2024 to Mar 18, 2025
- HNW RAUM · $172M to $253MJan 31, 2024 to Mar 18, 2025
- Individual RAUM · $22.3M to $24.7MJan 31, 2024 to Mar 18, 2025
- RAUM · $195M to $278MJan 31, 2024 to Mar 18, 2025
- Accounts · 575 to 515Sep 14, 2023 to Jan 31, 2024
- HNW clients · 50 to 58Sep 14, 2023 to Jan 31, 2024
- Individual clients · 82 to 68Sep 14, 2023 to Jan 31, 2024
- Assets in custody · $1.8M to $869,781Sep 14, 2023 to Jan 31, 2024
- Custody of client assets · false to trueSep 14, 2023 to Jan 31, 2024
- Financial planning clients · 101-250 to 0Sep 14, 2023 to Jan 31, 2024
- Other offices · 4 to 5Sep 14, 2023 to Jan 31, 2024
- Discretionary RAUM · $167M to $195MSep 14, 2023 to Jan 31, 2024
- HNW RAUM · $142M to $172MSep 14, 2023 to Jan 31, 2024
- Individual RAUM · $25.8M to $22.3MSep 14, 2023 to Jan 31, 2024
- RAUM · $167M to $195MSep 14, 2023 to Jan 31, 2024
- Advisory employees · 4 to 5Mar 27, 2023 to Jun 6, 2023
- State-registered IARs · 4 to 5Mar 27, 2023 to Jun 6, 2023
- Accounts · 537 to 575Dec 6, 2022 to Mar 27, 2023
- Advisory employees · 5 to 4Dec 6, 2022 to Mar 27, 2023
- Corporate clients · 1.0 to unsetDec 6, 2022 to Mar 27, 2023
- HNW clients · 69 to 50Dec 6, 2022 to Mar 27, 2023
- Individual clients · 80 to 82Dec 6, 2022 to Mar 27, 2023
- Assets in custody · unset to 1844594.0Dec 6, 2022 to Mar 27, 2023
- Employees · 5 to 7Dec 6, 2022 to Mar 27, 2023
Signals
4 dated events
- K•••••••• L••••• M••••• left C•••••• C•••••• for M••••• F•••••••• P••••••• L•• (registered 2023-10-12)Jan 26, 2023 · Advisor changed firm · fact
- S••• M••••• left C•••••• C•••••• for J••• • C•••• L•• (registered 2022-03-10)Mar 4, 2022 · Advisor changed firm · fact
- C•••••• C•••••• reported 6 offices beyond its principal office, up from 1 (2021-10-27 to 2021-12-07)Dec 7, 2021 · Office count change · derived
- C•••••• C•••••• filed its initial SEC registration (Form ADV)Feb 9, 2021 · 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
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 415-494-8262reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/C••••••-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C••••••CAPITALADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (415) 494-8262reportedpublic record, Form ADV, Mar 16, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $69.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026