DFX Intelligence
RIA Intelligence
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Latest filing Aug 19, 2026
First filing on the tape Jun 12, 2015 · 23 filings
SEC status approved since Jun 24, 2015
RAUM
$920M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$909M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$460M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$920M as of Aug 19, 2026
Mar 28, 2016$427M then
HNW client RAUM$908M as of Aug 19, 2026
Mar 16, 2018$388M then
State-registered IARs (5.B.3)2 as of Aug 19, 2026
Mar 28, 20161 then
Employees (5.A)2 as of Aug 19, 2026
Mar 28, 20161 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 19, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $460MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $113MderivedHNW RAUM over HNW clients
- Average account
- $8.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $30.0M, 6 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$908M99%
- Charitable organizations$11.0M1.2%
- Individuals$1.5M0.2%
- Individual clients
- 9reported
- HNW clients
- 8reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 103reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.0M for 6 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| T•••••• R•••• S•••• | Santa Barbara, Ca | Jun 8, 2024 | 26 y | 0 |
| K•••• C•••••• R••• | Santa Barbara, Ca | Oct 30, 2025 | 17 y | 2 |
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
none on the tape
Joined, latest
- K•••• C•••••• R••• from M•••• F•••••••• A••••••• L••Oct 30, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• K••••• C•••••• · Managing Member & Chief Compliance Officercontrolsince 06/2015 · 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 |
|---|---|---|---|---|---|
| Santa Barbara, Ca | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Kahului, HI1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Aug 19, 2026RAUM per account of $8,932,039 against a peer median of $610,947 (1443 comparable advisers, 99.0th percentile, 5.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 101 to 103Mar 19, 2025 to Feb 25, 2026
- Individual clients · 7 to 9Mar 19, 2025 to Feb 25, 2026
- Discretionary RAUM · $802M to $909MMar 19, 2025 to Feb 25, 2026
- HNW RAUM · $800M to $908MMar 19, 2025 to Feb 25, 2026
- Individual RAUM · $2.0M to $1.5MMar 19, 2025 to Feb 25, 2026
- RAUM · $813M to $920MMar 19, 2025 to Feb 25, 2026
- Accounts · 114 to 101Jul 10, 2024 to Mar 19, 2025
- Financial planning clients · 11-25 to 11-25Jul 10, 2024 to Mar 19, 2025
- HQ city · unset to Jul 10, 2024 to Mar 19, 2025
- HQ state · unset to Jul 10, 2024 to Mar 19, 2025
- Discretionary RAUM · $766M to $802MJul 10, 2024 to Mar 19, 2025
- HNW RAUM · $764M to $800MJul 10, 2024 to Mar 19, 2025
- RAUM · $777M to $813MJul 10, 2024 to Mar 19, 2025
- Advisory employees · 1 to 2Mar 22, 2024 to Jul 10, 2024
- State-registered IARs · 1 to 2Mar 22, 2024 to Jul 10, 2024
- Accounts · 115 to 114Jan 30, 2024 to Mar 22, 2024
- Assets in custody · unset to 30000000.0Jan 30, 2024 to Mar 22, 2024
- Custody of client assets · false to trueJan 30, 2024 to Mar 22, 2024
- Employees · 1 to 2Jan 30, 2024 to Mar 22, 2024
- Financial planning clients · 1-10 to 11-25Jan 30, 2024 to Mar 22, 2024
- Discretionary RAUM · $655M to $766MJan 30, 2024 to Mar 22, 2024
- HNW RAUM · $652M to $764MJan 30, 2024 to Mar 22, 2024
- Individual RAUM · $3.0M to $2.0MJan 30, 2024 to Mar 22, 2024
- RAUM · $666M to $777MJan 30, 2024 to Mar 22, 2024
- HQ city · MONTECITO to unsetJan 17, 2024 to Jan 30, 2024
- HQ state · CA to unsetJan 17, 2024 to Jan 30, 2024
- Other offices · 0 to 1Sep 7, 2023 to Jan 17, 2024
- Discretionary RAUM · $856M to $655MMar 19, 2022 to Mar 20, 2023
- HNW RAUM · $853M to $652MMar 19, 2022 to Mar 20, 2023
- RAUM · $867M to $666MMar 19, 2022 to Mar 20, 2023
- Individual clients · 8 to 7Mar 18, 2021 to Mar 19, 2022
- Discretionary RAUM · $822M to $856MMar 18, 2021 to Mar 19, 2022
- HNW RAUM · $819M to $853MMar 18, 2021 to Mar 19, 2022
- RAUM · $833M to $867MMar 18, 2021 to Mar 19, 2022
- Accounts · 57 to 115Jun 30, 2020 to Mar 18, 2021
- Individual clients · 7 to 8Jun 30, 2020 to Mar 18, 2021
- Discretionary RAUM · $352M to $822MJun 30, 2020 to Mar 18, 2021
- HNW RAUM · $349M to $819MJun 30, 2020 to Mar 18, 2021
- Individual RAUM · $3.1M to $3.0MJun 30, 2020 to Mar 18, 2021
- RAUM · $363M to $833MJun 30, 2020 to Mar 18, 2021
Signals
2 dated events
- O•• R••• L•• reported RAUM $833.0M, up 130% from $362.7M (2020-06-30 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- O•• R••• L•• filed its initial SEC registration (Form ADV)Jun 12, 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
- Website
- o•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 805-395-9767reportedpublic record, Form ADV, Aug 19, 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
- $460Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026