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
M•••••• T••••• F••••••••
Legal name S••••••• S•••• F••••••••• I•••
Latest filing Feb 27, 2024
First filing on the tape Dec 10, 2021 · 7 filings
SEC status approved since Jan 10, 2022
RAUM
$168M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
83%
$139M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$168M as of Feb 27, 2024
Mar 29, 2022$121M then
HNW client RAUM$70.1M as of Feb 27, 2024
Mar 29, 2022$47.8M then
State-registered IARs (5.B.3)6 as of Feb 27, 2024
Mar 29, 20226 then
Employees (5.A)6 as of Feb 27, 2024
Mar 29, 20226 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Feb 27, 2024; every figure names its basis
- RAUM per advisor
- $28.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $170,534derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $129M, 323 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
- High-net-worth individuals$70.1M42%
- Individuals$69.3M41%
- Pension and profit-sharing plans$24.2M14%
- Corporations and businesses$4.4M2.6%
- Individual clients
- 269reported
- HNW clients
- 48reported
- Pension plan clients
- 30reported
- Charitable clients
- n/areported
- Accounts
- 985reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $129M for 323 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
Left, latest
- B•••••• W••• K•••• to N•••••• A•••••••Feb 18, 2025 · RIA to affiliated broker-dealer or bank
- K•••••• N••••• K•••• to N•••••• A•••••••Feb 18, 2025 · RIA to affiliated broker-dealer or bank
- L•••• K••••••••• to N•••••• A•••••••Jan 31, 2025 · RIA to affiliated broker-dealer or bank
- J••• M• K•••• to N•••••• A•••••••Jan 31, 2025 · RIA to affiliated broker-dealer or bank
- S••••• F••••• B•••• to N•••••• A•••••••Jan 31, 2025 · RIA to affiliated broker-dealer or bank
- B•••• E••••• P••••••• to N•••••• A•••••••Jan 31, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••• E••••• P••••••• from K••••• W••••• M••••••••• L••Dec 10, 2019 · Other
- S••••• F••••• B•••• from N••••••• A••••••• L••Nov 6, 2015 · Other
- L•••• K••••••••• from N••••••• A••••••• L••Oct 2, 2015 · Other
- J••• M• K•••• from A••••• S•••••• A••••••• S•••••••Sep 17, 2015 · Other
- B•••••• W••• K•••• from N••••••• A••••••• L••Jul 27, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for N•••••• A•••••••Feb 18, 2025 · Bigfork, Mt
- 4 left for N•••••• A•••••••Jan 31, 2025 · San Diego, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• B••••••• W••• · Chief Operations Officercontrolsince 07/2015 · owns less than 5%
- K••••• K••••••• N••••• · Principal, Chief Compliance Officercontrolsince 10/2014 · owns 75% or more
Related persons
Schedule D 7.A
- J••• K••••investment companyn
- L•••• K•••••••••n
- S••••• F• B••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bigfork, Mt | 0 | 0 | 0 | ||
| Carlsbad, Ca | 0 | 0 | 0 | ||
| San Diego, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 348 to 985Nov 8, 2023 to Feb 27, 2024
- HNW clients · 43 to 48Nov 8, 2023 to Feb 27, 2024
- Individual clients · 276 to 269Nov 8, 2023 to Feb 27, 2024
- Pension plan clients · 25 to 30Nov 8, 2023 to Feb 27, 2024
- Assets in custody · $99.1M to $129MNov 8, 2023 to Feb 27, 2024
- Financial planning clients · 11-25 to 1-10Nov 8, 2023 to Feb 27, 2024
- Discretionary RAUM · $119M to $150MNov 8, 2023 to Feb 27, 2024
- HNW RAUM · $53.1M to $70.1MNov 8, 2023 to Feb 27, 2024
- Individual RAUM · $52.9M to $69.3MNov 8, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $11.1M to $17.7MNov 8, 2023 to Feb 27, 2024
- Pension RAUM · $13.4M to $24.2MNov 8, 2023 to Feb 27, 2024
- RAUM · $131M to $168MNov 8, 2023 to Feb 27, 2024
- Accounts · 316 to 348Oct 18, 2022 to Feb 16, 2023
- HNW clients · 34 to 43Oct 18, 2022 to Feb 16, 2023
- Individual clients · 257 to 276Oct 18, 2022 to Feb 16, 2023
- Pension plan clients · 22 to 25Oct 18, 2022 to Feb 16, 2023
- Assets in custody · $94.0M to $99.1MOct 18, 2022 to Feb 16, 2023
- Financial planning clients · 1-10 to 11-25Oct 18, 2022 to Feb 16, 2023
- Discretionary RAUM · $109M to $119MOct 18, 2022 to Feb 16, 2023
- HNW RAUM · $47.8M to $53.1MOct 18, 2022 to Feb 16, 2023
- Individual RAUM · $54.6M to $52.9MOct 18, 2022 to Feb 16, 2023
- Non-discretionary RAUM · $11.7M to $11.1MOct 18, 2022 to Feb 16, 2023
- Pension RAUM · $14.0M to $13.4MOct 18, 2022 to Feb 16, 2023
- RAUM · $121M to $131MOct 18, 2022 to Feb 16, 2023
- Advisory employees · 6 to 4Mar 29, 2022 to Oct 18, 2022
- Advisory activities · 3 to 2Mar 29, 2022 to Oct 18, 2022
- Accounts · 326 to 316Dec 10, 2021 to Mar 29, 2022
- HNW clients · 26 to 34Dec 10, 2021 to Mar 29, 2022
- Individual clients · 277 to 257Dec 10, 2021 to Mar 29, 2022
- Pension plan clients · 20 to 22Dec 10, 2021 to Mar 29, 2022
- Assets in custody · $78.5M to $94.0MDec 10, 2021 to Mar 29, 2022
- Discretionary RAUM · $107M to $109MDec 10, 2021 to Mar 29, 2022
- HNW RAUM · $44.3M to $47.8MDec 10, 2021 to Mar 29, 2022
- Individual RAUM · $57.1M to $54.6MDec 10, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $11.8M to $11.7MDec 10, 2021 to Mar 29, 2022
- Pension RAUM · $14.6M to $14.0MDec 10, 2021 to Mar 29, 2022
- RAUM · $119M to $121MDec 10, 2021 to Mar 29, 2022
Signals
10 dated events
- 2 advisors left M•••••• T••••• F•••••••• (Bigfork, MT) for N•••••• A••••••• on the same dayFeb 18, 2025 · Team lift-out · derived
- B•••••• W••• K•••• left M•••••• T••••• F•••••••• for N•••••• A••••••• (registered 2025-01-29)Feb 18, 2025 · Advisor changed firm · fact
- K•••••• N••••• K•••• left M•••••• T••••• F•••••••• for N•••••• A••••••• (registered 2025-01-29)Feb 18, 2025 · Advisor changed firm · fact
- M•••••• T••••• F•••••••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $168.0M)Feb 3, 2025 · Left the SEC roster · derived
- J••• M• K•••• left M•••••• T••••• F•••••••• for N•••••• A••••••• (registered 2025-03-04)Jan 31, 2025 · Advisor changed firm · fact
- M•••••• T••••• F••••••••'s advisors moved to N•••••• A••••••• (San Diego, CA): 4 of 6 registered, on the same dayJan 31, 2025 · Firm absorbed (people side) · derived
- S••••• F••••• B•••• left M•••••• T••••• F•••••••• for N•••••• A••••••• (registered 2025-03-18)Jan 31, 2025 · Advisor changed firm · fact
- B•••• E••••• P••••••• left M•••••• T••••• F•••••••• for N•••••• A••••••• (registered 2025-01-31)Jan 31, 2025 · Advisor changed firm · fact
- L•••• K••••••••• left M•••••• T••••• F•••••••• for N•••••• A••••••• (registered 2025-05-22)Jan 31, 2025 · Advisor changed firm · fact
- M•••••• T••••• F•••••••• filed its initial SEC registration (Form ADV)Dec 10, 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.
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