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

T••••••• I••••••••• A•••••••• I•••

Former SEC-registered adviserEl Cerrito, CaliforniaCRD 172294SEC 801-81117IAPD
Latest filing Feb 24, 2022
First filing on the tape Mar 5, 2015 · 27 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 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$78.4M as of Mar 6, 2018
Mar 31, 2016$0 then
HNW client RAUM: $47.5M
State-registered IARs (5.B.3)1 as of Feb 22, 2021
Mar 31, 20162 then
Employees (5.A)2 as of Feb 22, 2021
Mar 31, 20162 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Feb 24, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • 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)
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
60reported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••• K••••• F•••••• · Ownercontrol
    since 12/2014 · owns 75% or more
  • K•••••• E•••• A•••••• · Ccocontrol
    since 12/2014 · owns less than 5%
Related persons
Schedule D 7.A
Advisers that list T••••••• I••••••••• A•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 1
    Feb 3, 2021 to Feb 22, 2021
  • BD registered reps · 2 to 1
    Feb 3, 2021 to Feb 22, 2021
  • State-registered IARs · 2 to 1
    Feb 3, 2021 to Feb 22, 2021
  • HNW RAUM · 47451992.0 to unset
    Mar 6, 2018 to Mar 8, 2019
  • Individual RAUM · 28656146.0 to unset
    Mar 6, 2018 to Mar 8, 2019
  • Pension RAUM · 2325486.0 to unset
    Mar 6, 2018 to Mar 8, 2019
  • Accounts · 75 to 173
    Oct 31, 2017 to Mar 6, 2018
  • Insurance-licensed employees · 2 to 1
    Oct 31, 2017 to Mar 6, 2018
  • Discretionary RAUM · $76.1M to $78.4M
    Oct 31, 2017 to Mar 6, 2018
  • Pension RAUM · unset to 2325486.0
    Oct 31, 2017 to Mar 6, 2018
  • RAUM · $76.1M to $78.4M
    Oct 31, 2017 to Mar 6, 2018
  • Accounts · 173.0 to unset
    Mar 6, 2018 to Mar 6, 2018
  • Discretionary RAUM · 78433624.0 to unset
    Mar 6, 2018 to Mar 6, 2018
  • Non-discretionary RAUM · 0.0 to unset
    Mar 6, 2018 to Mar 6, 2018
  • RAUM · 78433624.0 to unset
    Mar 6, 2018 to Mar 6, 2018
  • Accounts · 66 to 75
    May 11, 2017 to Oct 31, 2017
  • HNW clients · unset to 15.0
    May 11, 2017 to Oct 31, 2017
  • Individual clients · unset to 60.0
    May 11, 2017 to Oct 31, 2017
  • Other offices · unset to 0.0
    May 11, 2017 to Oct 31, 2017
  • Discretionary RAUM · $30.3M to $76.1M
    May 11, 2017 to Oct 31, 2017
  • HNW RAUM · unset to 47451992.0
    May 11, 2017 to Oct 31, 2017
  • Individual RAUM · unset to 28656146.0
    May 11, 2017 to Oct 31, 2017
  • RAUM · $30.3M to $76.1M
    May 11, 2017 to Oct 31, 2017
  • Accounts · 0 to 66
    Mar 16, 2017 to May 11, 2017
  • Discretionary RAUM · $0 to $30.3M
    Mar 16, 2017 to May 11, 2017
  • RAUM · $0 to $30.3M
    Mar 16, 2017 to May 11, 2017
  • HQ city · ST HELENA to EL CERRITO
    Jan 13, 2017 to Jan 18, 2017
  • Business name · C•••• A•••• M••••••••• to T••••••• I••••••••• A•••••••• I•••
    Dec 1, 2016 to Jan 13, 2017
  • Legal name · K•••• F•••••• C•••• to T••••••• I••••••••• A•••••••• I•••
    Dec 1, 2016 to Jan 13, 2017
  • Organization form · Sole Proprietorship to Corporation
    Mar 31, 2016 to Dec 1, 2016
  • Legal name · C•••• A•••• M••••••••• to K•••• F•••••• C••••
    Mar 10, 2015 to Dec 21, 2015
Signals
2 dated events
  • K•••• F•••••• C•••• left T••••••• I••••••••• A•••••••• I••• for N••• V••••• W••••• M••••••••• (registered 2022-02-25)
    Jun 17, 2022 · Advisor changed firm · fact
  • C•••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
    Mar 5, 2015 · 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