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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Former SEC-registered adviser

A••••••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 297504SEC 801-113633IAPD
Latest filing Dec 12, 2018
First filing on the tape Jun 18, 2018 · 19 filings
RAUM
$35.9M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$35.4M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$12.0M
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
19 filings and snapshots on the tape
RAUM$35.9M as of Dec 12, 2018
Jun 18, 2018$0 then
HNW client RAUM$28.8M as of Dec 12, 2018
Nov 14, 2018$28.8M then
State-registered IARs (5.B.3)2 as of Dec 12, 2018
Jun 18, 20182 then
Employees (5.A)2 as of Dec 12, 2018
Jun 18, 20182 then
Private funds: no history
Practice profile
derived from the filing of Dec 12, 2018; every figure names its basis
RAUM per advisor
$12.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
9derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$569,130derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, 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
  • High-net-worth individuals$28.8M80%
  • Individuals$6.6M18%
  • Corporations and businesses$497,9151.4%
Individual clients
19reported
HNW clients
9reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
63reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• L•••• S••••••Los Angeles, CaJun 4, 201919 y0
R••••• A••• K•••Los Angeles, CaJan 1, 202512 y1
M•••• S••••• K••••••Los Angeles, CaMay 5, 202534 y2
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••• R•••••• A••• · Managing Member & Chief Compliance Officercontrol
    since 06/2018 · owns 75% or more
  • G••••••• C•••••••• B••••• · Vice President
    since 07/2018 · owns less than 5%
  • W••••••••• S••••• J•••• · Senior Vice President
    since 09/2018 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Los Angeles, Ca · principal300
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 1 to 2
    Nov 27, 2018 to Nov 27, 2018
  • Employees · 1 to 2
    Nov 27, 2018 to Nov 27, 2018
  • State-registered IARs · 1 to 2
    Nov 27, 2018 to Nov 27, 2018
  • Accounts · 0 to 63
    Oct 4, 2018 to Nov 14, 2018
  • Advisory employees · 2 to 1
    Oct 4, 2018 to Nov 14, 2018
  • Charity clients · unset to 0.0
    Oct 4, 2018 to Nov 14, 2018
  • Corporate clients · unset to 35.0
    Oct 4, 2018 to Nov 14, 2018
  • HNW clients · unset to 9.0
    Oct 4, 2018 to Nov 14, 2018
  • Individual clients · unset to 19.0
    Oct 4, 2018 to Nov 14, 2018
  • Pension plan clients · unset to 0.0
    Oct 4, 2018 to Nov 14, 2018
  • Pooled vehicle clients · unset to 0.0
    Oct 4, 2018 to Nov 14, 2018
  • Employees · 2 to 1
    Oct 4, 2018 to Nov 14, 2018
  • State-registered IARs · 2 to 1
    Oct 4, 2018 to Nov 14, 2018
  • Discretionary RAUM · $0 to $35.4M
    Oct 4, 2018 to Nov 14, 2018
  • HNW RAUM · unset to 28771481.0
    Oct 4, 2018 to Nov 14, 2018
  • Individual RAUM · unset to 6585813.0
    Oct 4, 2018 to Nov 14, 2018
  • Non-discretionary RAUM · $0 to $497,915
    Oct 4, 2018 to Nov 14, 2018
  • Pension RAUM · unset to 0.0
    Oct 4, 2018 to Nov 14, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Oct 4, 2018 to Nov 14, 2018
  • RAUM · $0 to $35.9M
    Oct 4, 2018 to Nov 14, 2018
Signals
1 dated events
  • A••••••••• L•• filed its initial SEC registration (Form ADV)
    Jun 18, 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
Firm profile
LINKEDIN.COM/COMPANY/A••••••••-LLCreportedpublic record, Form ADV, Sep 18, 2026
Website
alphanext.comreportedpublic record, Form ADV, Sep 18, 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
$12.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026