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 Jun 8, 2026
First filing on the tape Apr 25, 2024 · 7 filings
SEC status approved since May 29, 2024
RAUM
$486M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.3%
$11.3M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$162M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$486M as of Jun 8, 2026
Feb 25, 2025$329M then
HNW client RAUM$8.4M as of Oct 21, 2025
Feb 25, 2025$8.4M then
State-registered IARs (5.B.3)2 as of Jun 8, 2026
Feb 25, 20251 then
Employees (5.A)6 as of Jun 8, 2026
Feb 25, 20255 then
Private funds: no history
RAUM +48% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Jun 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $162MderivedRAUM 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
- $37.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 96%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +48%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$465M98%
- Individuals$11.3M2.4%
- Other investment advisers$418,3220.1%
- Individual clients
- 6reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.02 fund_share=0.0 institutional_share=0.96 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• D••••• | El Segundo, Ca | Oct 19, 2017 | 26 y | 0 |
| G••••• M•••••• C•••• | El Segundo, Ca | Jan 22, 2026 | 18 y | 0 |
| M••• M••••• B•••••Chartered Financial Analyst | El Segundo, Ca | May 13, 2026 | 22 y | 1 |
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
- D••••• M•••• A•••• to Q•• C•••••• M••••••••• I••Nov 11, 2022 · Other
Joined, latest
- M••• M••••• B••••• from M•• I•••••••• S•••••••• L••May 13, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• K•••• · Managercontrolsince 07/2017 · owns less than 5%
- M•••••••• R•••• H•••••• · Chief Compliance Officer/Chief Operating Officercontrolsince 10/2024 · owns less than 5%
- D•••••• K•••• · T••••••controlsince 07/2009 · owns F of The K•••• And K••••••• D••••• 2009 Trust
- D•••••• K••••••• · T••••••controlsince 07/2009 · owns F of The K•••• And K••••••• D••••• 2009 Trust
Entity owners
- K•••• D•••••• A• T•••••• O• T•• K•••• A•• K••••••• D••••• 2••• T•••• · Memberdirect · 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 |
|---|---|---|---|---|---|
| El Segundo, Ca | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 6, 2026RAUM (Item 5.F) moved from $329,428,513 to $486,256,666 (+48.0%) between the annual amendments of 2025-02-25 and 2026-03-06; the peer median change was +9.0% (93 comparable advisers, 95.0th percentile of changes)peers: institutional managers, $100M to $500M (93) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 10 to 13Oct 21, 2025 to Mar 6, 2026
- Individual clients · unset to 6.0Oct 21, 2025 to Mar 6, 2026
- Employees · 5 to 6Oct 21, 2025 to Mar 6, 2026
- Financial planning clients · 0 to Oct 21, 2025 to Mar 6, 2026
- State-registered IARs · 1 to 2Oct 21, 2025 to Mar 6, 2026
- Discretionary RAUM · $329M to $486MOct 21, 2025 to Mar 6, 2026
- HNW RAUM · 8444099.0 to unsetOct 21, 2025 to Mar 6, 2026
- Individual RAUM · unset to 11347681.0Oct 21, 2025 to Mar 6, 2026
- RAUM · $329M to $486MOct 21, 2025 to Mar 6, 2026
- Financial planning clients · 0 to 0Feb 25, 2025 to Oct 21, 2025
- Advisory employees · 1 to 2Oct 4, 2024 to Feb 25, 2025
- Employees · 3 to 5Oct 4, 2024 to Feb 25, 2025
- HQ city · unset to Oct 4, 2024 to Feb 25, 2025
- HQ state · unset to Oct 4, 2024 to Feb 25, 2025
- Discretionary RAUM · $112M to $329MOct 4, 2024 to Feb 25, 2025
- HNW RAUM · $8.3M to $8.4MOct 4, 2024 to Feb 25, 2025
- RAUM · $112M to $329MOct 4, 2024 to Feb 25, 2025
Signals
5 dated events
- B•••••• C••••••• L•• reported RAUM $486.3M, up 48% from $329.4M (2025-10-21 to 2026-03-06)Mar 6, 2026 · RAUM change · derived
- B•••••• C••••••• L•• reported RAUM $329.4M, up 194% from $111.9M (2024-10-04 to 2025-02-25)Feb 25, 2025 · RAUM change · derived
- Hiroaki Ryan Mayetani (Chief Compliance Officer/Chief Operating Officer) appeared on Schedule A of B•••••• C••••••• L••Oct 4, 2024 · Control person joined · fact
- B•••••• C••••••• L•• filed its initial SEC registration (Form ADV)Apr 25, 2024 · First SEC registration · fact
- D••••• M•••• A•••• left B•••••• C••••••• L•• for Q•• C•••••• M••••••••• I•• (registered 2023-01-06)Nov 11, 2022 · Advisor changed firm · 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
- B••••••CAPITAL.USreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 424-835-2744reportedpublic record, Form ADV, Jun 8, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $162Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026