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••• C•••••• P•••••••
Legal name K••• C•••••• P•••••••• I•••
Latest filing Jul 13, 2026
First filing on the tape Feb 4, 2021 · 37 filings
SEC status approved since Mar 9, 2021
RAUM
$1.4B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
86%
$1.2B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
8
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.4B as of Jul 13, 2026
Feb 8, 2022$118M then
HNW client RAUM$1.2B as of Jul 13, 2026
Feb 8, 2022$104M then
State-registered IARs (5.B.3)8 as of Jul 13, 2026
Feb 8, 20225 then
Employees (5.A)13 as of Jul 13, 2026
Feb 8, 20226 then
Private funds8 as of Jul 13, 2026
Feb 8, 20223 then
RAUM +69% over the last fiscal year+102% a year over threeIARs 8 to 8offices 3 to 4
Practice profile
derived from the filing of Jul 13, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +69%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $216M, 72 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B85%
- Corporations and businesses$175M13%
- Pooled investment vehicles$22.7M1.7%
- Individuals$6.5M0.5%
- Charitable organizations$78,5410.0%
- Individual clients
- 28reported
- HNW clients
- 282reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,045reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $216M for 72 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.02 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• H••• P••• | San Jose, Ca | Mar 10, 2021 | 15 y | 0 |
| G••••• C••• | Park City, Ut | Mar 10, 2021 | 22 y | 1 |
| M•••••• P•••••• M••••• | San Jose, Ca | Aug 12, 2021 | 14 y | 1 |
| J•••• A•••••••• D••••• | Mesa, Az | May 4, 2022 | 17 y | 2 |
| M•••••• J••••• K•••• | San Jose, Ca | Sep 15, 2022 | 11 y | 3 |
| B•••• B••••••Certified Financial Planner | Sacramento, Ca | Sep 15, 2022 | 12 y | 3 |
| J•••••• S••••••• | Bend, Or | Aug 6, 2024 | 10 y | 0 |
| V••••• W•••••• M• | San Jose, Ca | Jan 1, 2025 | 18 y | 2 |
| S•••• M• A•••••• | San Jose, Ca | Jan 1, 2025 | 11 y | 1 |
| H••••• S••••••• | San Jose, Ca | Jan 1, 2025 | 26 y | 1 |
| C••• M• A•••••• | Granite Bay, Ca | Jan 1, 2025 | 33 y | 4 |
| B•••••• K•••• L•• | Los Angeles, Ca | Mar 2, 2026 | 11 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
- J•••••• S•••• W•••• to C••••••• P•••••••Jul 24, 2023 · RIA to RIA
- D••••• C•••• to S••••••••• W•••••• L••Mar 18, 2022 · RIA to RIA
Joined, latest
- B•••••• K•••• L•• from E•••••••• A•••••••• L••Mar 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- C••• M• A•••••• from M••••• S••••••Jan 1, 2025 · Wirehouse to independent RIA
- H••••• S••••••• from M••••• S••••••Jan 1, 2025 · Wirehouse to independent RIA
- S•••• M• A•••••• from M••••• S••••••Jan 1, 2025 · Wirehouse to independent RIA
- V••••• W•••••• M• from M••••• S••••••Jan 1, 2025 · Wirehouse to independent RIA
- J•••••• S•••• W•••• from C••••••• P•••••••Dec 2, 2022 · RIA to RIA
- M•••••• J••••• K•••• from G••••••••• I•••••••••Sep 15, 2022 · Other
- B•••• B•••••• from C•••••••• G••••• M•••••• I•••Sep 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••• A•••••••• D••••• from M••••• S••••••May 4, 2022 · Wirehouse to independent RIA
- M•••••• P•••••• M••••• from M••••• S••••••Aug 12, 2021 · Wirehouse to independent RIA
- D••••• C•••• from W•••• F•••• A•••••••Aug 4, 2021 · Wirehouse to independent RIA
- G••••• C••• from M••••• I••••••••• M••••••••• L••Mar 10, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• S••••••Sep 22, 2023 · Folsom, Ca
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K••• V••••••• I••• L•• | Other Private Fund | $8.9M | 22 | Nov 30, 2021 |
| K••• V••••••• V•• L•• | $5.0M | 19 | Jul 13, 2026 | |
| K••• V••••••• V• L•• | Other Private Fund | $2.6M | 31 | Sep 15, 2023 |
| K••• V••••••• I•• L•• | Other Private Fund | $2.1M | 15 | Jan 5, 2023 |
| K••• V••••••• V••• L•• | $1.5M | 36 | Jul 13, 2026 | |
| K••• V••••••• V• L•• | Other Private Fund | $981,326 | 11 | Nov 8, 2023 |
| K••• V••••••• I• L•• | Other Private Fund | $89,460 | 19 | Aug 25, 2021 |
| K••• V••••••• I•• L•• | Other Private Fund | $29,500 | 19 | Nov 12, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• B•••• · Shareholder / Ccocontrolsince 02/2021 · owns 10% to 25%
- C•••• G••••• · Shareholdercontrolsince 02/2021 · owns 25% to 50%
- M•••••• M••••••• P•••••• · Shareholdercontrolsince 02/2021 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| San Jose, Ca · principal | 12 | 1 | 0 | ||
| Bend, Or | 2 | 0 | 0 | ||
| Granite Bay, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Granite Bay, CA3 employees
- Sacramento, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 11, 2026RAUM (Item 5.F) moved from $808,085,722 to $1,364,403,650 (+69.0%) between the annual amendments of 2025-03-30 and 2026-03-11; the peer median change was +17.0% (1298 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 96% percentile
What changed
consecutive filings, newest first
- Private funds · 6 to 8Jun 16, 2026 to Jul 13, 2026
- Accounts · 889 to 1,045Jan 2, 2026 to Mar 11, 2026
- Charity clients · 2.0 to unsetJan 2, 2026 to Mar 11, 2026
- Corporate clients · 14 to 13Jan 2, 2026 to Mar 11, 2026
- HNW clients · 256 to 282Jan 2, 2026 to Mar 11, 2026
- Assets in custody · $4.5M to $216MJan 2, 2026 to Mar 11, 2026
- Employees · 12 to 13Jan 2, 2026 to Mar 11, 2026
- Financial planning clients · to 1-10Jan 2, 2026 to Mar 11, 2026
- Other offices · 3 to 4Jan 2, 2026 to Mar 11, 2026
- Discretionary RAUM · $1.1B to $1.3BJan 2, 2026 to Mar 11, 2026
- HNW RAUM · $793M to $1.2BJan 2, 2026 to Mar 11, 2026
- Individual RAUM · $5.6M to $6.5MJan 2, 2026 to Mar 11, 2026
- Non-discretionary RAUM · $4.0M to $19.5MJan 2, 2026 to Mar 11, 2026
- Pooled vehicle RAUM · $22.0M to $22.7MJan 2, 2026 to Mar 11, 2026
- RAUM · $1.1B to $1.4BJan 2, 2026 to Mar 11, 2026
- Accounts · 802 to 889Mar 30, 2025 to Jul 16, 2025
- Charity clients · unset to 2.0Mar 30, 2025 to Jul 16, 2025
- Corporate clients · 16 to 14Mar 30, 2025 to Jul 16, 2025
- HNW clients · 227 to 256Mar 30, 2025 to Jul 16, 2025
- Individual clients · 27 to 28Mar 30, 2025 to Jul 16, 2025
- Financial planning clients · unset to Mar 30, 2025 to Jul 16, 2025
- Discretionary RAUM · $803M to $1.1BMar 30, 2025 to Jul 16, 2025
- HNW RAUM · $588M to $793MMar 30, 2025 to Jul 16, 2025
- Individual RAUM · $5.3M to $5.6MMar 30, 2025 to Jul 16, 2025
- Non-discretionary RAUM · $5.5M to $4.0MMar 30, 2025 to Jul 16, 2025
- RAUM · $808M to $1.1BMar 30, 2025 to Jul 16, 2025
- Accounts · 767 to 802Nov 20, 2024 to Mar 30, 2025
- Corporate clients · 14 to 16Nov 20, 2024 to Mar 30, 2025
- HNW clients · 230 to 227Nov 20, 2024 to Mar 30, 2025
- Assets in custody · unset to 4478834.0Nov 20, 2024 to Mar 30, 2025
- Custody of client assets · false to trueNov 20, 2024 to Mar 30, 2025
- Employees · 11 to 12Nov 20, 2024 to Mar 30, 2025
- Financial planning clients · 0 to unsetNov 20, 2024 to Mar 30, 2025
- Other offices · 2 to 3Nov 20, 2024 to Mar 30, 2025
- Discretionary RAUM · $757M to $803MNov 20, 2024 to Mar 30, 2025
- HNW RAUM · $560M to $588MNov 20, 2024 to Mar 30, 2025
- Individual RAUM · $5.3M to $5.3MNov 20, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $3.9M to $5.5MNov 20, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $21.0M to $22.0MNov 20, 2024 to Mar 30, 2025
- RAUM · $761M to $808MNov 20, 2024 to Mar 30, 2025
Signals
9 dated events
- K••• C•••••• P••••••• reported RAUM $1.4B, up 28% from $1.1B (2026-01-02 to 2026-03-11)Mar 11, 2026 · RAUM change · derived
- K••• C•••••• P••••••• reported RAUM $1.1B, up 32% from $808.1M (2025-03-30 to 2025-07-16)Jul 16, 2025 · RAUM change · derived
- K••• C•••••• P••••••• reported RAUM $760.8M, up 50% from $507.6M (2024-04-09 to 2024-11-20)Nov 20, 2024 · RAUM change · derived
- K••• C•••••• P••••••• reported 2 offices beyond its principal office, down from 10 (2023-11-08 to 2024-03-04)Mar 4, 2024 · Office count change · derived
- 2 advisors left M••••• S•••••• (Folsom, CA) for K••• C•••••• P••••••• on the same daySep 22, 2023 · Team lift-out · derived
- K••• C•••••• P••••••• reported RAUM $514.4M, up 209% from $166.7M (2023-02-09 to 2023-09-15)Sep 15, 2023 · RAUM change · derived
- J•••••• S•••• W•••• left K••• C•••••• P••••••• for C••••••• P••••••• (registered 2023-08-29)Jul 24, 2023 · Advisor changed firm · fact
- D••••• C•••• left K••• C•••••• P••••••• for S••••••••• W•••••• L•• (registered 2022-03-18)Mar 18, 2022 · Advisor changed firm · fact
- K••• C•••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Feb 4, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- K••• C•••••• P••••••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business phone
- 408-668-2201reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/keracapitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- keracapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 408-668-2201reportedpublic record, Form ADV, Jul 13, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026