DFX Intelligence

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K•••• W••••• A•••••••• I••

Independent wealth managerSEC-registered· Pasadena, Californiawebsite

Independent wealth manager, based in Pasadena, California, reporting $365M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $365M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +19%
Private clients: 98%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-10 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 10 Mar 2026, RAUM $306M to $365M (+19.2%) on the Form ADV filed 10 Mar 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 175347 · SEC 801-96308 · 26 filingsShow

CRD 175347SEC 801-96308First filing on the tape May 11, 2015, latest Mar 10, 2026SEC status approved since May 20, 2015IAPD

RAUM

$365M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$357M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$183M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM +17% a year over three years · the tape starts May 11, 2015

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$365M as of Mar 10, 2026

Mar 8, 2016$133M then

HNW client RAUM$259M as of Mar 10, 2026

Mar 23, 2018$66.9M then

State-registered IARs (5.B.3)2 as of Mar 10, 2026

Mar 8, 20163 then

Employees (5.A)8 as of Mar 10, 2026

Mar 8, 20167 then

Private funds: no history

RAUM +19% over the last fiscal year+17% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 10, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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

RAUM per advisor: $183MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 181derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $328,013derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 4.0derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -3.2%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $136M, 171 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

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
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)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

71% high-net-worth individuals, 27% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$259M71%
Individuals$97.2M27%
Corporations and businesses$5.6M1.5%
Charitable organizations$2.8M0.8%

Individual clients: 243reported
HNW clients: 119reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,113reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $136M for 171 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 98% private clients, 0% pooled funds, 1% institutions; no related broker-dealer; no related bank; 200% of advisors also broker-dealer representativesderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J••••• R•••• M••••••	Pasadena, Ca	Jun 25, 2015	21 y	1
A•••• K•••• D••••Certified Financial Planner, Personal Financial Specialist	Pasadena, Ca	Jun 25, 2015	18 y	2

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••• A••••• K•••• · Chief Executive Officercontrol
since 07/2014 · owns 75% or more
M••••••• J•••••• R•••• · Chief Compliance Officercontrol
since 01/2020 · owns less than 5%

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
Pasadena, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

Torrance, CA1 employee

What changed

consecutive filings, newest first

Accounts · 1,108 to 1,113
Mar 14, 2025 to Mar 10, 2026
HNW clients · 90 to 119
Mar 14, 2025 to Mar 10, 2026
Individual clients · 284 to 243
Mar 14, 2025 to Mar 10, 2026
Assets in custody · $106M to $136M
Mar 14, 2025 to Mar 10, 2026
Discretionary RAUM · $306M to $365M
Mar 14, 2025 to Mar 10, 2026

Full history · 80 changes

HNW RAUM · $186M to $259M
Mar 14, 2025 to Mar 10, 2026
Individual RAUM · $115M to $97.2M
Mar 14, 2025 to Mar 10, 2026
RAUM · $306M to $365M
Mar 14, 2025 to Mar 10, 2026
Accounts · 1,115 to 1,108
Mar 27, 2024 to Mar 14, 2025
Charity clients · 2.0 to unset
Mar 27, 2024 to Mar 14, 2025
Corporate clients · 5.0 to unset
Mar 27, 2024 to Mar 14, 2025
HNW clients · 114 to 90
Mar 27, 2024 to Mar 14, 2025
Individual clients · 283 to 284
Mar 27, 2024 to Mar 14, 2025
Assets in custody · $84.0M to $106M
Mar 27, 2024 to Mar 14, 2025
Employees · 7 to 8
Mar 27, 2024 to Mar 14, 2025
Financial planning clients · 1-10 to 1-10
Mar 27, 2024 to Mar 14, 2025
Discretionary RAUM · $264M to $306M
Mar 27, 2024 to Mar 14, 2025
HNW RAUM · $180M to $186M
Mar 27, 2024 to Mar 14, 2025
Individual RAUM · $78.0M to $115M
Mar 27, 2024 to Mar 14, 2025
RAUM · $264M to $306M
Mar 27, 2024 to Mar 14, 2025
Accounts · 1,111 to 1,115
Mar 13, 2023 to Mar 27, 2024
Advisory employees · 3 to 2
Mar 13, 2023 to Mar 27, 2024
Charity clients · 4 to 2
Mar 13, 2023 to Mar 27, 2024
Corporate clients · 7 to 5
Mar 13, 2023 to Mar 27, 2024
HNW clients · 95 to 114
Mar 13, 2023 to Mar 27, 2024
Individual clients · 298 to 283
Mar 13, 2023 to Mar 27, 2024
Assets in custody · $58.8M to $84.0M
Mar 13, 2023 to Mar 27, 2024
Employees · 8 to 7
Mar 13, 2023 to Mar 27, 2024
Discretionary RAUM · $231M to $264M
Mar 13, 2023 to Mar 27, 2024
HNW RAUM · $140M to $180M
Mar 13, 2023 to Mar 27, 2024
Individual RAUM · $84.2M to $78.0M
Mar 13, 2023 to Mar 27, 2024
RAUM · $231M to $264M
Mar 13, 2023 to Mar 27, 2024
Accounts · 1,089 to 1,111
Sep 27, 2022 to Mar 13, 2023
Advisory activities · 4 to 3
Sep 27, 2022 to Mar 13, 2023
Charity clients · 3 to 4
Sep 27, 2022 to Mar 13, 2023
Corporate clients · 6 to 7
Sep 27, 2022 to Mar 13, 2023
HNW clients · 105 to 95
Sep 27, 2022 to Mar 13, 2023
Individual clients · 276 to 298
Sep 27, 2022 to Mar 13, 2023
Assets in custody · $49.6M to $58.8M
Sep 27, 2022 to Mar 13, 2023
Discretionary RAUM · $251M to $231M
Sep 27, 2022 to Mar 13, 2023
HNW RAUM · $166M to $140M
Sep 27, 2022 to Mar 13, 2023
Individual RAUM · $78.7M to $84.2M
Sep 27, 2022 to Mar 13, 2023
RAUM · $251M to $231M
Sep 27, 2022 to Mar 13, 2023
Accounts · 1,008 to 1,089
Nov 1, 2021 to Mar 25, 2022
Charity clients · unset to 3.0
Nov 1, 2021 to Mar 25, 2022
Corporate clients · unset to 6.0
Nov 1, 2021 to Mar 25, 2022
HNW clients · 89 to 105
Nov 1, 2021 to Mar 25, 2022
Individual clients · 274 to 276
Nov 1, 2021 to Mar 25, 2022
Assets in custody · $35.0M to $49.6M
Nov 1, 2021 to Mar 25, 2022
Discretionary RAUM · $206M to $251M
Nov 1, 2021 to Mar 25, 2022
HNW RAUM · $124M to $166M
Nov 1, 2021 to Mar 25, 2022
Individual RAUM · $79.2M to $78.7M
Nov 1, 2021 to Mar 25, 2022
RAUM · $206M to $251M
Nov 1, 2021 to Mar 25, 2022
Accounts · 980 to 1,008
Jun 11, 2020 to Mar 22, 2021
HNW clients · 78 to 89
Jun 11, 2020 to Mar 22, 2021
Individual clients · 272 to 274
Jun 11, 2020 to Mar 22, 2021
Assets in custody · $34.8M to $35.0M
Jun 11, 2020 to Mar 22, 2021
Employees · 9 to 8
Jun 11, 2020 to Mar 22, 2021
Discretionary RAUM · $191M to $206M
Jun 11, 2020 to Mar 22, 2021
HNW RAUM · $106M to $124M
Jun 11, 2020 to Mar 22, 2021
Individual RAUM · $81.8M to $79.2M
Jun 11, 2020 to Mar 22, 2021
RAUM · $191M to $206M
Jun 11, 2020 to Mar 22, 2021
Accounts · 973 to 980
Mar 21, 2019 to Mar 17, 2020
Advisory activities · 3 to 4
Mar 21, 2019 to Mar 17, 2020
BD registered reps · 3 to 2
Mar 21, 2019 to Mar 17, 2020
HNW clients · 48 to 78
Mar 21, 2019 to Mar 17, 2020
Individual clients · 303 to 272
Mar 21, 2019 to Mar 17, 2020
Assets in custody · $28.7M to $34.8M
Mar 21, 2019 to Mar 17, 2020
Employees · 8 to 9
Mar 21, 2019 to Mar 17, 2020
State-registered IARs · 3 to 2
Mar 21, 2019 to Mar 17, 2020
Discretionary RAUM · $152M to $191M
Mar 21, 2019 to Mar 17, 2020
HNW RAUM · $64.3M to $106M
Mar 21, 2019 to Mar 17, 2020
Individual RAUM · $96.4M to $81.8M
Mar 21, 2019 to Mar 17, 2020
Non-discretionary RAUM · $11.1M to $0
Mar 21, 2019 to Mar 17, 2020
RAUM · $163M to $191M
Mar 21, 2019 to Mar 17, 2020
Accounts · 999 to 973
Nov 14, 2018 to Mar 21, 2019
HNW clients · 44 to 48
Nov 14, 2018 to Mar 21, 2019
Individual clients · 308 to 303
Nov 14, 2018 to Mar 21, 2019
Assets in custody · $11.5M to $28.7M
Nov 14, 2018 to Mar 21, 2019
Financial planning clients · 0 to 1-10
Nov 14, 2018 to Mar 21, 2019

Signals

3 dated events

••• Locked
Mar 17, 2020 · Control person joined · fact
••• Locked
May 11, 2015 · Succession (Item 4) · fact
••• Locked
May 11, 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.

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 10, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $183Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026