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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I•••••• I••••••••• C••••••
Legal name I•••••• I•• L••
Latest filing Mar 4, 2026
First filing on the tape Aug 4, 2014 · 14 filings
SEC status approved since Jun 21, 2021
RAUM
$246M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$246M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$246M as of Mar 4, 2026
Mar 25, 2022$139M then
HNW client RAUM$233M as of Mar 4, 2026
Mar 25, 2022$132M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Mar 25, 20222 then
Employees (5.A)5 as of Mar 4, 2026
Mar 25, 20223 then
Private funds: no history
RAUM +6.8% over the last fiscal year+23% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$233M95%
- Individuals$12.7M5.2%
- Individual clients
- 33reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 228reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• K•••••Chartered Financial Analyst | El Segundo, Ca | Jan 12, 2016 | 31 y | 1 |
| J••••• J•••• N•••••••• | El Segundo, Ca | Oct 17, 2025 | 25 y | 5 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- H•••• Y••••• to X••• S•••••••Sep 23, 2025 · RIA to RIA
Joined, latest
- J••••• J•••• N•••••••• from T•• K••••• G••••• L••Oct 17, 2025 · RIA to RIA
- R•••••• K••••• from D••••• W••••• A•••••••Jan 12, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• R•••••• · Managing Member/Chief Compliance Officercontrolsince 07/2013 · owns 75% or more
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 |
|---|---|---|---|---|---|
| El Segundo, Ca · principal | 2 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 250 to 228Dec 2, 2025 to Mar 4, 2026
- Advisory employees · 4 to 2Dec 2, 2025 to Mar 4, 2026
- HNW clients · 66 to 59Dec 2, 2025 to Mar 4, 2026
- Individual clients · 32 to 33Dec 2, 2025 to Mar 4, 2026
- State-registered IARs · 4 to 2Dec 2, 2025 to Mar 4, 2026
- Discretionary RAUM · $230M to $242MDec 2, 2025 to Mar 4, 2026
- HNW RAUM · $218M to $233MDec 2, 2025 to Mar 4, 2026
- Individual RAUM · $12.3M to $12.7MDec 2, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $0 to $3.8MDec 2, 2025 to Mar 4, 2026
- RAUM · $230M to $246MDec 2, 2025 to Mar 4, 2026
- Financial planning clients · 0 to 0Feb 18, 2025 to Sep 23, 2025
- Accounts · 96 to 250Jun 9, 2024 to Feb 18, 2025
- Advisory employees · 3 to 4Jun 9, 2024 to Feb 18, 2025
- HNW clients · 34 to 66Jun 9, 2024 to Feb 18, 2025
- Individual clients · 13 to 32Jun 9, 2024 to Feb 18, 2025
- Assets in custody · 9653883.0 to unsetJun 9, 2024 to Feb 18, 2025
- Custody of client assets · true to falseJun 9, 2024 to Feb 18, 2025
- Employees · 4 to 5Jun 9, 2024 to Feb 18, 2025
- Financial planning clients · unset to 0Jun 9, 2024 to Feb 18, 2025
- State-registered IARs · 3 to 4Jun 9, 2024 to Feb 18, 2025
- Discretionary RAUM · $136M to $230MJun 9, 2024 to Feb 18, 2025
- HNW RAUM · $131M to $218MJun 9, 2024 to Feb 18, 2025
- Individual RAUM · $5.0M to $12.3MJun 9, 2024 to Feb 18, 2025
- RAUM · $136M to $230MJun 9, 2024 to Feb 18, 2025
- Accounts · 106 to 96Mar 22, 2023 to Feb 15, 2024
- Advisory employees · 2 to 3Mar 22, 2023 to Feb 15, 2024
- Individual clients · 18 to 13Mar 22, 2023 to Feb 15, 2024
- Assets in custody · $8.8M to $9.7MMar 22, 2023 to Feb 15, 2024
- Employees · 3 to 4Mar 22, 2023 to Feb 15, 2024
- State-registered IARs · 2 to 3Mar 22, 2023 to Feb 15, 2024
- Discretionary RAUM · $123M to $136MMar 22, 2023 to Feb 15, 2024
- HNW RAUM · $122M to $131MMar 22, 2023 to Feb 15, 2024
- Individual RAUM · $7.1M to $5.0MMar 22, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $7.8M to $0Mar 22, 2023 to Feb 15, 2024
- Pension RAUM · 1736544.0 to unsetMar 22, 2023 to Feb 15, 2024
- RAUM · $131M to $136MMar 22, 2023 to Feb 15, 2024
- Accounts · 107 to 106Mar 25, 2022 to Mar 22, 2023
- HNW clients · 37 to 34Mar 25, 2022 to Mar 22, 2023
- Individual clients · 15 to 18Mar 25, 2022 to Mar 22, 2023
- Assets in custody · $8.3M to $8.8MMar 25, 2022 to Mar 22, 2023
Signals
2 dated events
- H•••• Y••••• left I•••••• I••••••••• C•••••• for X••• S••••••• (registered 2026-03-04)Sep 23, 2025 · Advisor changed firm · fact
- I•••••• I••••••••• C•••••• filed its initial SEC registration (Form ADV)Aug 4, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 310-426-6319reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 310-426-6322reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-426-6322reportedpublic record, Form ADV, Mar 4, 2026
- Contact form
- insightinv.com/contactreportedpublished 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026