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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SEC-registered adviser
K•• W••••• M••••••••• L••
Latest filing May 8, 2026
First filing on the tape May 11, 2018 · 28 filings
SEC status approved since May 19, 2020
RAUM
$255M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$253M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$255M as of May 8, 2026
Mar 1, 2021$151M then
HNW client RAUM$203M as of May 8, 2026
Mar 1, 2021$130M then
State-registered IARs (5.B.3)2 as of May 8, 2026
Mar 1, 20212 then
Employees (5.A)6 as of May 8, 2026
Mar 1, 20214 then
Private funds: no history
RAUM +10% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $340,334derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $2.6M, 7 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$203M80%
- Individuals$49.6M19%
- Corporations and businesses$2.3M0.9%
- Individual clients
- 98reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 749reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.6M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| M•••••• F•••••••• S•••• | Encinitas, Ca | Jun 25, 2018 | 23 y | 3 |
| A•••• E••••••• G•••••••Certified Financial Planner | Encinitas, Ca | Aug 6, 2024 | 10 y | 1 |
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 headcount1 left over 36 months
Left, latest
- L••• T••••• M•••• to O•••• W•••••• I•••Apr 30, 2024 · RIA to affiliated broker-dealer or bank
- G••••••• N•• K••••••• to U•• P•••••• W••••• M••••••••• L••Jan 26, 2023 · Other
- C••• W••••••••• to M••••••Jan 11, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- A•••• E••••••• G••••••• from B••••••••• • F•••••• L••Aug 6, 2024 · RIA to RIA
- L••• T••••• M•••• from P••••••• C•••••• A••••••• C•••••••••Nov 9, 2022 · RIA to RIA
- G••••••• N•• K••••••• from B••• W••••• G••••• I••Apr 13, 2021 · RIA to RIA
- M•••••• F•••••••• S•••• from M••••• S••••••Jun 25, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• M••••••• F•••••••• · Member, Chief Executive Officer, Chief Investment Officer And Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- S••••• M••••••• F•••••••• · Trusteecontrolsince 03/2017 · owns 75% or more of M•••••• F• S•••• R•••••••• T•
- S••••• M••••••• F•••••••• · Ownercontrolsince 06/2018 · owns 75% or more of T•••• W•••••• I•••
Entity owners
- M•••••• F• S•••• R•••••••• T• · Trustdirect · owns 75% or more
- T•••• W•••••• I••• · Managing Memberdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Encinitas, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 744 to 749Jul 24, 2025 to Feb 24, 2026
- HNW clients · 65 to 62Jul 24, 2025 to Feb 24, 2026
- Individual clients · 96 to 98Jul 24, 2025 to Feb 24, 2026
- Assets in custody · $46.8M to $2.6MJul 24, 2025 to Feb 24, 2026
- Financial planning clients · 26-50 to 51-100Jul 24, 2025 to Feb 24, 2026
- Discretionary RAUM · $220M to $243MJul 24, 2025 to Feb 24, 2026
- HNW RAUM · $189M to $203MJul 24, 2025 to Feb 24, 2026
- Individual RAUM · $41.5M to $49.6MJul 24, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $11.3M to $11.9MJul 24, 2025 to Feb 24, 2026
- RAUM · $231M to $255MJul 24, 2025 to Feb 24, 2026
- Financial planning clients · 26-50 to 26-50Mar 6, 2025 to Jul 24, 2025
- Accounts · 718 to 744Apr 26, 2024 to Mar 5, 2025
- Individual clients · 93 to 96Apr 26, 2024 to Mar 5, 2025
- Assets in custody · $62.0M to $46.8MApr 26, 2024 to Mar 5, 2025
- Financial planning clients · 51-100 to 26-50Apr 26, 2024 to Mar 5, 2025
- HQ city · unset to Apr 26, 2024 to Mar 5, 2025
- HQ state · unset to Apr 26, 2024 to Mar 5, 2025
- Discretionary RAUM · $204M to $220MApr 26, 2024 to Mar 5, 2025
- HNW RAUM · $174M to $189MApr 26, 2024 to Mar 5, 2025
- Individual RAUM · $40.1M to $41.5MApr 26, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $10.0M to $11.3MApr 26, 2024 to Mar 5, 2025
- RAUM · $214M to $231MApr 26, 2024 to Mar 5, 2025
- Accounts · 627 to 718Mar 14, 2023 to Mar 17, 2024
- Individual clients · 85 to 93Mar 14, 2023 to Mar 17, 2024
- Assets in custody · $82.7M to $62.0MMar 14, 2023 to Mar 17, 2024
- Financial planning clients · 26-50 to 51-100Mar 14, 2023 to Mar 17, 2024
- Discretionary RAUM · $152M to $204MMar 14, 2023 to Mar 17, 2024
- HNW RAUM · $146M to $174MMar 14, 2023 to Mar 17, 2024
- Individual RAUM · $34.4M to $40.1MMar 14, 2023 to Mar 17, 2024
- Non-discretionary RAUM · $29.2M to $10.0MMar 14, 2023 to Mar 17, 2024
- RAUM · $181M to $214MMar 14, 2023 to Mar 17, 2024
- Accounts · 536 to 627Nov 29, 2022 to Mar 14, 2023
- Advisory employees · 3 to 2Nov 29, 2022 to Mar 14, 2023
- HNW clients · 60 to 65Nov 29, 2022 to Mar 14, 2023
- Individual clients · 78 to 85Nov 29, 2022 to Mar 14, 2023
- Assets in custody · $36.5M to $82.7MNov 29, 2022 to Mar 14, 2023
- Employees · 5 to 6Nov 29, 2022 to Mar 14, 2023
- Financial planning clients · 1-10 to 26-50Nov 29, 2022 to Mar 14, 2023
- State-registered IARs · 3 to 2Nov 29, 2022 to Mar 14, 2023
- Discretionary RAUM · $145M to $152MNov 29, 2022 to Mar 14, 2023
Signals
4 dated events
- L••• T••••• M•••• left K•• W••••• M••••••••• L•• for O•••• W•••••• I••• (registered 2025-11-12)Apr 30, 2024 · Advisor changed firm · fact
- G••••••• N•• K••••••• left K•• W••••• M••••••••• L•• for U•• P•••••• W••••• M••••••••• L•• (registered 2026-05-14)Jan 26, 2023 · Advisor changed firm · fact
- C••• W••••••••• left K•• W••••• M••••••••• L•• for Mariner (registered 2022-01-21)Jan 11, 2022 · Advisor changed firm · fact
- K•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 11, 2018 · 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
- info@koawealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 760-602-6920reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/koawealthmanagementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- koawealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-602-6920reportedpublic record, Form ADV, May 8, 2026
- Contact form
- koawealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- koawealth.com/our-peoplereportedpublished by the firm, firm site, Sep 15, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026