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

B•••••••• A••••••• S•••••••• L••

No RAUM reportedSan Diego, CaliforniaCRD 305662SEC 801-117417websiteIAPD
Latest filing Jun 30, 2026
First filing on the tape Aug 30, 2019 · 34 filings
SEC status approved since Sep 27, 2019
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
34 filings and snapshots on the tape
RAUM$0 as of Jun 30, 2026
Feb 3, 2020$12.1M then
HNW client RAUM$116M as of Mar 31, 2022
Feb 3, 2020$8.9M then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Feb 3, 20200 then
Employees (5.A)2 as of Jun 30, 2026
Feb 3, 202011 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••••••• M•••••• · Chief Compliance Officercontrol
      since 12/2020 · owns less than 5%
    • N•••••• M••••••• H••••• · Directorcontrol
      since 08/2019 · owns less than 5%
    • W•••••• J•••••• M••••• · Chief Legal/Corporate Secretarycontrol
      since 12/2020 · owns less than 5%
    • M•••••• D••••• J••••• · Director Of Compliance
      since 12/2020 · owns less than 5%
    Entity owners
    • K•••••••• U•• L•• · Sole Member
      direct · owns 75% or more
    • K•••••••• H••••••• L•• · Shareholder
      indirect · owns 75% or more of K• W••••• G•••• L••
    • K•••••••• U• H•••••••• I••• · Member
      indirect · owns 50% to 75% of K•••••••• U•• L••
    • K• W••••• G•••• L•• · Shareholder
      indirect · owns 75% or more of K•••••••• U• H•••••••• I•••
    Related persons
    Schedule D 7.A
    Advisers that list B•••••••• A••••••• S•••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · 0 to 0
      Jun 3, 2024 to Jul 17, 2025
    • Accounts · unset to 0.0
      Mar 30, 2023 to Jun 3, 2024
    • Discretionary RAUM · unset to 0.0
      Mar 30, 2023 to Jun 3, 2024
    • Non-discretionary RAUM · unset to 0.0
      Mar 30, 2023 to Jun 3, 2024
    • RAUM · unset to 0.0
      Mar 30, 2023 to Jun 3, 2024
    • Accounts · 551.0 to unset
      Feb 7, 2023 to Mar 30, 2023
    • Advisory employees · 9 to 2
      Feb 7, 2023 to Mar 30, 2023
    • BD registered reps · 11 to 2
      Feb 7, 2023 to Mar 30, 2023
    • HNW clients · 82.0 to unset
      Feb 7, 2023 to Mar 30, 2023
    • Individual clients · 41.0 to unset
      Feb 7, 2023 to Mar 30, 2023
    • Employees · 11 to 2
      Feb 7, 2023 to Mar 30, 2023
    • Insurance-licensed employees · 0 to 2
      Feb 7, 2023 to Mar 30, 2023
    • Other offices · 2 to 0
      Feb 7, 2023 to Mar 30, 2023
    • Discretionary RAUM · 114546518.0 to unset
      Feb 7, 2023 to Mar 30, 2023
    • HNW RAUM · 115773844.0 to unset
      Feb 7, 2023 to Mar 30, 2023
    • Individual RAUM · 77858478.0 to unset
      Feb 7, 2023 to Mar 30, 2023
    • Non-discretionary RAUM · 158789952.0 to unset
      Feb 7, 2023 to Mar 30, 2023
    • RAUM · 273336470.0 to unset
      Feb 7, 2023 to Mar 30, 2023
    • Wrap assets (manager) · 0.0 to unset
      Feb 7, 2023 to Mar 30, 2023
    • Wrap assets (sponsor) · 14200000.0 to unset
      Feb 7, 2023 to Mar 30, 2023
    • HQ city · NEW YORK to SAN DIEGO
      Feb 1, 2023 to Feb 7, 2023
    • HQ state · NY to CA
      Feb 1, 2023 to Feb 7, 2023
    • Accounts · 466 to 551
      Dec 14, 2021 to Mar 31, 2022
    • HNW clients · 60 to 82
      Dec 14, 2021 to Mar 31, 2022
    • Individual clients · 27 to 41
      Dec 14, 2021 to Mar 31, 2022
    • Discretionary RAUM · $96.9M to $115M
      Dec 14, 2021 to Mar 31, 2022
    • HNW RAUM · $96.9M to $116M
      Dec 14, 2021 to Mar 31, 2022
    • Individual RAUM · $59.0M to $77.9M
      Dec 14, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $141M to $159M
      Dec 14, 2021 to Mar 31, 2022
    • RAUM · $238M to $273M
      Dec 14, 2021 to Mar 31, 2022
    • Wrap assets (sponsor) · $12.1M to $14.2M
      Dec 14, 2021 to Mar 31, 2022
    • Related adviser · false to true
      Feb 9, 2021 to Mar 23, 2021
    • Accounts · 35 to 466
      Sep 17, 2020 to Jan 4, 2021
    • HNW clients · 15 to 60
      Sep 17, 2020 to Jan 4, 2021
    • Individual clients · 20 to 27
      Sep 17, 2020 to Jan 4, 2021
    • Other offices · 1 to 2
      Sep 17, 2020 to Jan 4, 2021
    • Discretionary RAUM · $2.1M to $96.9M
      Sep 17, 2020 to Jan 4, 2021
    • HNW RAUM · $8.9M to $96.9M
      Sep 17, 2020 to Jan 4, 2021
    • Individual RAUM · $3.2M to $59.0M
      Sep 17, 2020 to Jan 4, 2021
    • Non-discretionary RAUM · $10.0M to $141M
      Sep 17, 2020 to Jan 4, 2021
    Signals
    32 dated events
    • T•••• T••••• B••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2021-07-30)
      Dec 31, 2022 · Advisor changed firm · fact
    • A••••• J• W••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2021-01-20)
      Dec 31, 2022 · Advisor changed firm · fact
    • Richard S Siminou no longer registered at B•••••••• A••••••• S•••••••• L••; no later IA registration on IAPD
      Jul 13, 2022 · Advisor departure · fact
    • S•••• R••••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2021-10-29)
      Jul 13, 2022 · Advisor changed firm · fact
    • M•••••• H••••• N••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2021-04-07)
      Jul 13, 2022 · Advisor changed firm · fact
    • D•••• S•••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-06-06)
      Jun 6, 2022 · Advisor changed firm · fact
    • Donald Lee G••••• no longer registered at B•••••••• A••••••• S•••••••• L••; no later IA registration on IAPD
      Mar 31, 2022 · Advisor departure · fact
    • S•••••• M• D•••••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-03-10)
      Mar 14, 2022 · Advisor changed firm · fact
    • B•••••• S••• M•••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-03-04)
      Feb 28, 2022 · Advisor changed firm · fact
    • 2 advisors left B•••••••• A••••••• S•••••••• L•• (San Diego, CA) for K•••••••• W••••• A•••••••• L•• within 14 days
      Feb 28, 2022 · Team lift-out · derived
    • C••••••••• T••••• D•••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-26)
      Jan 25, 2022 · Advisor changed firm · fact
    • D••••••• D••••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-14)
      Jan 14, 2022 · Advisor changed firm · fact
    • H•••• J••••• O•••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-14)
      Jan 12, 2022 · Advisor changed firm · fact
    • K••••• K••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-03)
      Jan 3, 2022 · Advisor changed firm · fact
    • R•••• K•••••• P•••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-05)
      Jan 3, 2022 · Advisor changed firm · fact
    • D••••• G•••••• C••••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-03)
      Jan 3, 2022 · Advisor changed firm · fact
    • M•••••• M••••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-04)
      Jan 3, 2022 · Advisor changed firm · fact
    • L•••• B••••• L••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-04)
      Jan 3, 2022 · Advisor changed firm · fact
    • J••• J•••• F•••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-04)
      Jan 3, 2022 · Advisor changed firm · fact
    • A•••••• A••••• N•••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-03)
      Jan 3, 2022 · Advisor changed firm · fact
    • T••••• M•••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-05)
      Jan 3, 2022 · Advisor changed firm · fact
    • 11 advisors left B•••••••• A••••••• S•••••••• L•• (San Diego, CA) for K•••••••• W••••• A•••••••• L•• within 22 days
      Jan 3, 2022 · Team lift-out · derived
    • D••••••• V•••••• P•••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-03)
      Jan 3, 2022 · Advisor changed firm · fact
    • T••••• E•••••• G•••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-04)
      Jan 3, 2022 · Advisor changed firm · fact
    • J••• L••••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-04)
      Jan 3, 2022 · Advisor changed firm · fact
    • M•••••• J• N•••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-03)
      Jan 3, 2022 · Advisor changed firm · fact
    • B•••• W••••• left B•••••••• A••••••• S•••••••• L•• for K•••••••• W••••• A•••••••• L•• (registered 2022-01-03)
      Jan 3, 2022 · Advisor changed firm · fact
    • M••••• J••••• W••••• (Chief Legal/Corporate Secretary) appeared on Schedule A of B•••••••• A••••••• S•••••••• L••
      Jan 4, 2021 · Control person joined · fact
    • Mohamed Alsoraimi (Chief Compliance Officer) appeared on Schedule A of B•••••••• A••••••• S•••••••• L••
      Jan 4, 2021 · Control person joined · fact
    • Jaindl David Martin (Chief Compliance Officer) appeared on Schedule A of B•••••••• A••••••• S•••••••• L••
      Nov 1, 2019 · Control person joined · 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
    H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    800-535-6981reportedpublic record, Form ADV, Jun 30, 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
    No RAUM reportedderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026