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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Latest filing Mar 14, 2023
First filing on the tape Nov 28, 2016 · 25 filings
RAUM
$3.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$3.5M as of Sep 19, 2022
Sep 22, 2017$2.0M then
HNW client RAUM$1.9M as of Sep 19, 2022
Aug 8, 2018$800,000 then
State-registered IARs (5.B.3)2 as of Sep 19, 2022
Sep 22, 20172 then
Employees (5.A)4 as of Sep 19, 2022
Sep 22, 20172 then
Private funds: no history
RAUM -27% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 14, 2023; every figure names its basis
- RAUM per advisor
- $1.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $248,600derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- Individuals$3.7M100%
- Individual clients
- 15reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• T••• | Newport Beach, Ca | Jan 1, 2026 | 12 y | 1 |
| V••• Q•••• T••• | Newport Beach, Ca | Jan 1, 2026 | 30 y | 0 |
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
- K•••• R•••• O••• to Q•••• C•••••• M•••••••••Jun 5, 2017 · Other
Joined, latest
- T••• T••• from N•••••••• B••••• B• L••Jan 1, 2026 · Other
- K•••• R•••• O••• from O••••••••• • C•• I•••Jan 18, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••• V•••• Q•••• · Principal And Chief Compliance Officercontrolsince 08/2016 · owns 5% to 10%
- T•••• V•••• Q•••• · Ownercontrolsince 12/2011 · owns 50% to 75% of P••••••• C•••••• L••
- N•••••• N••••• T• · Minority Ownersince 12/2011 · owns 25% to 50% of P••••••• C•••••• L••
Entity owners
- P••••••• C•••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Newport Beach, Ca | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · IRVINE to unsetFeb 23, 2023 to Mar 2, 2023
- HQ state · CA to unsetFeb 23, 2023 to Mar 2, 2023
- HQ city · GREENWICH to IRVINEFeb 9, 2023 to Feb 23, 2023
- HQ state · CT to CAFeb 9, 2023 to Feb 23, 2023
- HNW clients · 6.0 to unsetJan 19, 2023 to Feb 9, 2023
- Employees · 4 to 3Jan 19, 2023 to Feb 9, 2023
- Discretionary RAUM · $3.5M to $3.7MJan 19, 2023 to Feb 9, 2023
- HNW RAUM · 1906206.0 to unsetJan 19, 2023 to Feb 9, 2023
- Individual RAUM · $1.6M to $3.7MJan 19, 2023 to Feb 9, 2023
- RAUM · $3.5M to $3.7MJan 19, 2023 to Feb 9, 2023
- Accounts · 11 to 15Sep 27, 2021 to Sep 19, 2022
- HNW clients · unset to 6.0Sep 27, 2021 to Sep 19, 2022
- Individual clients · 7 to 15Sep 27, 2021 to Sep 19, 2022
- Discretionary RAUM · $5.1M to $3.5MSep 27, 2021 to Sep 19, 2022
- HNW RAUM · $2.0M to $1.9MSep 27, 2021 to Sep 19, 2022
- Individual RAUM · $3.1M to $1.6MSep 27, 2021 to Sep 19, 2022
- RAUM · $5.1M to $3.5MSep 27, 2021 to Sep 19, 2022
- Discretionary RAUM · $2.5M to $5.1MSep 23, 2020 to Sep 27, 2021
- HNW RAUM · $1.5M to $2.0MSep 23, 2020 to Sep 27, 2021
- Individual RAUM · $1.0M to $3.1MSep 23, 2020 to Sep 27, 2021
- RAUM · $2.5M to $5.1MSep 23, 2020 to Sep 27, 2021
- Accounts · 6 to 11Sep 23, 2020 to Sep 27, 2021
- Individual clients · unset to 7.0Sep 23, 2020 to Sep 27, 2021
- HQ city · unset to GREENWICHSep 23, 2020 to Sep 27, 2021
- HQ state · unset to CTSep 23, 2020 to Sep 27, 2021
- Accounts · 7 to 6Jul 10, 2020 to Sep 23, 2020
- Advisory activities · 2 to 1Jul 10, 2020 to Sep 23, 2020
- Discretionary RAUM · $2.0M to $2.5MJul 10, 2020 to Sep 23, 2020
- HNW RAUM · $1.0M to $1.5MJul 10, 2020 to Sep 23, 2020
- RAUM · $2.0M to $2.5MJul 10, 2020 to Sep 23, 2020
- Related adviser · true to falseJul 10, 2020 to Sep 23, 2020
- Advisory activities · 3 to 2Sep 6, 2018 to Sep 24, 2019
- HNW clients · 3.0 to unsetSep 6, 2018 to Sep 24, 2019
- Individual clients · 4.0 to unsetSep 6, 2018 to Sep 24, 2019
- Financial planning clients · unset to 0Sep 6, 2018 to Sep 24, 2019
- HQ city · GREENWICH to unsetSep 6, 2018 to Sep 24, 2019
- HQ state · CT to unsetSep 6, 2018 to Sep 24, 2019
- HNW RAUM · $800,000 to $1.0MSep 6, 2018 to Sep 24, 2019
- Individual RAUM · $1.2M to $1.0MSep 6, 2018 to Sep 24, 2019
- Related adviser · false to trueSep 6, 2018 to Sep 24, 2019
Signals
1 dated events
- K•••• I••• filed its initial SEC registration (Form ADV)Nov 28, 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
- Website
- K•••.COreportedpublic record, Form ADV, Sep 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026