DFX Intelligence
RIA Intelligence
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SEC-registered adviser
N•• A•••••••• L••
Latest filing Feb 13, 2026
First filing on the tape May 17, 2016 · 36 filings
SEC status approved since Jun 6, 2016
RAUM
$329M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
87%
$286M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$329M as of Feb 13, 2026
Feb 15, 2017$130M then
HNW client RAUM$278M as of Feb 13, 2026
Jan 26, 2018$121M then
State-registered IARs (5.B.3)2 as of Feb 13, 2026
Feb 15, 20172 then
Employees (5.A)2 as of Feb 13, 2026
Feb 15, 20174 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 13, 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
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $656,802derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $165M, 153 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$278M85%
- Pension and profit-sharing plans$37.2M11%
- Individuals$7.4M2.3%
- Corporations and businesses$3.1M1.0%
- Charitable organizations$2.9M0.9%
- Individual clients
- 47reported
- HNW clients
- 124reported
- Pension plan clients
- 20reported
- Charitable clients
- n/areported
- Accounts
- 501reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $165M for 153 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.12 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 |
|---|---|---|---|---|
| K•••• M••• N•••••• | San Luis Obispo, Ca | Jun 6, 2016 | 33 y | 2 |
| S••••• P• H••••••Chartered Financial Consultant | San Luis Obispo, Ca | May 28, 2020 | 23 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- A••••• J•••• W••••• to W••••• W••••• S••••••••• L••Aug 2, 2019 · RIA to a newly registered adviser
Joined, latest
- K•••• M••• N•••••• from K•••• M• N••••••Jun 6, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• K••••• M••• · President & Chief Compliance Officercontrolsince 05/2019 · 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 |
|---|---|---|---|---|---|
| San Luis Obispo, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 473 to 501Feb 25, 2025 to Feb 13, 2026
- HNW clients · 122 to 124Feb 25, 2025 to Feb 13, 2026
- Individual clients · 46 to 47Feb 25, 2025 to Feb 13, 2026
- Pension plan clients · 21 to 20Feb 25, 2025 to Feb 13, 2026
- Assets in custody · $150M to $165MFeb 25, 2025 to Feb 13, 2026
- Financial planning clients · to 0Feb 25, 2025 to Feb 13, 2026
- Discretionary RAUM · $284M to $317MFeb 25, 2025 to Feb 13, 2026
- HNW RAUM · $246M to $278MFeb 25, 2025 to Feb 13, 2026
- Individual RAUM · $6.3M to $7.4MFeb 25, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $9.8M to $11.9MFeb 25, 2025 to Feb 13, 2026
- Pension RAUM · $37.5M to $37.2MFeb 25, 2025 to Feb 13, 2026
- RAUM · $294M to $329MFeb 25, 2025 to Feb 13, 2026
- Accounts · 451 to 473Feb 14, 2024 to Feb 25, 2025
- HNW clients · 117 to 122Feb 14, 2024 to Feb 25, 2025
- Individual clients · 41 to 46Feb 14, 2024 to Feb 25, 2025
- Pension plan clients · 22 to 21Feb 14, 2024 to Feb 25, 2025
- Assets in custody · $127M to $150MFeb 14, 2024 to Feb 25, 2025
- Financial planning clients · unset to Feb 14, 2024 to Feb 25, 2025
- Discretionary RAUM · $240M to $284MFeb 14, 2024 to Feb 25, 2025
- HNW RAUM · $205M to $246MFeb 14, 2024 to Feb 25, 2025
- Individual RAUM · $5.0M to $6.3MFeb 14, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $7.4M to $9.8MFeb 14, 2024 to Feb 25, 2025
- Pension RAUM · $33.3M to $37.5MFeb 14, 2024 to Feb 25, 2025
- RAUM · $248M to $294MFeb 14, 2024 to Feb 25, 2025
- Accounts · 393 to 451Aug 11, 2023 to Feb 14, 2024
- HNW clients · 98 to 117Aug 11, 2023 to Feb 14, 2024
- Individual clients · 33 to 41Aug 11, 2023 to Feb 14, 2024
- Assets in custody · $60.9M to $127MAug 11, 2023 to Feb 14, 2024
- Discretionary RAUM · $202M to $240MAug 11, 2023 to Feb 14, 2024
- HNW RAUM · $169M to $205MAug 11, 2023 to Feb 14, 2024
- Individual RAUM · $5.2M to $5.0MAug 11, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $9.2M to $7.4MAug 11, 2023 to Feb 14, 2024
- Pension RAUM · $33.1M to $33.3MAug 11, 2023 to Feb 14, 2024
- RAUM · $211M to $248MAug 11, 2023 to Feb 14, 2024
- Accounts · 386 to 393Feb 9, 2022 to Mar 7, 2023
- HNW clients · 97 to 98Feb 9, 2022 to Mar 7, 2023
- Individual clients · 25 to 33Feb 9, 2022 to Mar 7, 2023
- Pension plan clients · 21 to 22Feb 9, 2022 to Mar 7, 2023
- Assets in custody · $74.5M to $60.9MFeb 9, 2022 to Mar 7, 2023
- Discretionary RAUM · $236M to $202MFeb 9, 2022 to Mar 7, 2023
Signals
3 dated events
- James Andrew Wright (Partner) no longer on Schedule A of N•• A•••••••• L•• (listed 2019-05-30, absent 2019-07-12)Jul 12, 2019 · Control person left · inference
- N•• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 15, 2017 · Succession (Item 4) · fact
- N• M••••••••• L•• filed its initial SEC registration (Form ADV)May 17, 2016 · 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
- j••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- k•••••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 805-781-2773reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 805-781-2774reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.n•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 805-781-2773reportedpublic record, Form ADV, Feb 13, 2026
- Contact form
- n•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026