DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
K• W••••• M••••••••• L••
Latest filing Feb 5, 2026
First filing on the tape Oct 28, 2024 · 6 filings
SEC status approved since Nov 27, 2024
RAUM
$122M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$122M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$122M as of Feb 5, 2026
Jan 27, 2025$102M then
HNW client RAUM$23.2M as of Feb 5, 2026
Jan 27, 2025$76.8M then
State-registered IARs (5.B.3)1 as of Feb 5, 2026
Jan 27, 20251 then
Employees (5.A)1 as of Feb 5, 2026
Jan 27, 20251 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $774,027derivedHNW RAUM over HNW clients
- Average account
- $577,743derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- Individuals$98.7M81%
- High-net-worth individuals$23.2M19%
- Individual clients
- 50reported
- HNW clients
- 30reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 211reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Y•• K• W•• | Sacramento, Ca | Sep 14, 2018 | 26 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Y•• K• W•• from C•••••• S••••• • C••• I•••Sep 14, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••• Y••• K• · Managing Member & Chief Compliance Officercontrolsince 07/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Gold River, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 5, 2026HNW share of RAUM moved from 75.0% to 19.0% between the annual amendments of 2025-01-27 and 2026-02-05peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 213 to 211Jan 20, 2026 to Feb 5, 2026
- HNW clients · 27 to 30Jan 20, 2026 to Feb 5, 2026
- Individual clients · 48 to 50Jan 20, 2026 to Feb 5, 2026
- Discretionary RAUM · $102M to $122MJan 20, 2026 to Feb 5, 2026
- HNW RAUM · $76.8M to $23.2MJan 20, 2026 to Feb 5, 2026
- Individual RAUM · $25.2M to $98.7MJan 20, 2026 to Feb 5, 2026
- RAUM · $102M to $122MJan 20, 2026 to Feb 5, 2026
- Accounts · 208 to 213Dec 3, 2024 to Jan 27, 2025
- Individual clients · 46 to 48Dec 3, 2024 to Jan 27, 2025
- Financial planning clients · 26-50 to 26-50Dec 3, 2024 to Jan 27, 2025
- HQ city · unset to Dec 3, 2024 to Jan 27, 2025
- HQ state · unset to Dec 3, 2024 to Jan 27, 2025
- Discretionary RAUM · $0 to $102MDec 3, 2024 to Jan 27, 2025
- HNW RAUM · $76.5M to $76.8MDec 3, 2024 to Jan 27, 2025
- Individual RAUM · $23.9M to $25.2MDec 3, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $100M to $0Dec 3, 2024 to Jan 27, 2025
- RAUM · $100M to $102MDec 3, 2024 to Jan 27, 2025
Signals
1 dated events
- K• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 28, 2024 · 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
- Principal office phone
- 916-758-9218reportedpublic record, Form ADV, Feb 5, 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026