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
H••••• H•••• W•••••
Legal name H••••• H•••• W•••••• L••
Latest filing Mar 17, 2026
First filing on the tape Feb 4, 2021 · 10 filings
SEC status approved since Jun 5, 2023
RAUM
$128M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$124M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$128M as of Mar 17, 2026
Mar 12, 2024$116M then
HNW client RAUM$123M as of Mar 17, 2026
Mar 12, 2024$113M then
State-registered IARs (5.B.3)1 as of Mar 17, 2026
Mar 12, 20241 then
Employees (5.A)1 as of Mar 17, 2026
Mar 12, 20241 then
Private funds: no history
RAUM +1.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.5MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $57.1M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$123M96%
- Pension and profit-sharing plans$3.1M2.4%
- Corporations and businesses$882,4320.7%
- Individuals$500,9030.4%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 54reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.1M for 4 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• M••• K•• | Santa Monica, Ca | Mar 9, 2021 | 15 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
- G••••• M••• K•• from M••••• S••••••Mar 9, 2021 · 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
- K••• G•••••• M••• · Managing Member & Chief Compliance Officercontrolsince 03/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 61 to 54Feb 26, 2025 to Mar 17, 2026
- HNW clients · 14 to 13Feb 26, 2025 to Mar 17, 2026
- Assets in custody · $56.2M to $57.1MFeb 26, 2025 to Mar 17, 2026
- Discretionary RAUM · $123M to $125MFeb 26, 2025 to Mar 17, 2026
- HNW RAUM · $121M to $123MFeb 26, 2025 to Mar 17, 2026
- Individual RAUM · $1.3M to $500,903Feb 26, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $2.1M to $2.7MFeb 26, 2025 to Mar 17, 2026
- Pension RAUM · $2.3M to $3.1MFeb 26, 2025 to Mar 17, 2026
- RAUM · $125M to $128MFeb 26, 2025 to Mar 17, 2026
- Accounts · 58 to 61Mar 12, 2024 to Feb 26, 2025
- Assets in custody · $8.9M to $56.2MMar 12, 2024 to Feb 26, 2025
- Financial planning clients · 0 to 0Mar 12, 2024 to Feb 26, 2025
- HQ city · unset to Mar 12, 2024 to Feb 26, 2025
- HQ state · unset to Mar 12, 2024 to Feb 26, 2025
- Discretionary RAUM · $115M to $123MMar 12, 2024 to Feb 26, 2025
- HNW RAUM · $113M to $121MMar 12, 2024 to Feb 26, 2025
- Individual RAUM · $624,726 to $1.3MMar 12, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $644,585 to $2.1MMar 12, 2024 to Feb 26, 2025
- Pension RAUM · $1.5M to $2.3MMar 12, 2024 to Feb 26, 2025
- RAUM · $116M to $125MMar 12, 2024 to Feb 26, 2025
- Accounts · 64 to 58Oct 18, 2023 to Mar 12, 2024
- HNW clients · 15 to 14Oct 18, 2023 to Mar 12, 2024
- Assets in custody · $7.5M to $8.9MOct 18, 2023 to Mar 12, 2024
- Discretionary RAUM · $107M to $115MOct 18, 2023 to Mar 12, 2024
- HNW RAUM · $105M to $113MOct 18, 2023 to Mar 12, 2024
- Individual RAUM · $899,977 to $624,726Oct 18, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $682,985 to $644,585Oct 18, 2023 to Mar 12, 2024
- Pension RAUM · $1.4M to $1.5MOct 18, 2023 to Mar 12, 2024
- RAUM · $108M to $116MOct 18, 2023 to Mar 12, 2024
- Accounts · 56 to 64Aug 16, 2021 to May 2, 2023
- Advisory activities · 3 to 5Aug 16, 2021 to May 2, 2023
- HNW clients · 9 to 15Aug 16, 2021 to May 2, 2023
- Individual clients · 6.0 to unsetAug 16, 2021 to May 2, 2023
- Assets in custody · $396,000 to $7.5MAug 16, 2021 to May 2, 2023
- Discretionary RAUM · $37.1M to $107MAug 16, 2021 to May 2, 2023
- HNW RAUM · $34.8M to $105MAug 16, 2021 to May 2, 2023
- Individual RAUM · $3.2M to $899,977Aug 16, 2021 to May 2, 2023
- Non-discretionary RAUM · $900,000 to $682,985Aug 16, 2021 to May 2, 2023
- Pension RAUM · unset to 1381169.0Aug 16, 2021 to May 2, 2023
- RAUM · $38.0M to $108MAug 16, 2021 to May 2, 2023
Signals
1 dated events
- H••••• H•••• W••••• filed its initial SEC registration (Form ADV)Feb 4, 2021 · 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
- 310-925-1146reportedpublic record, Form ADV, Mar 17, 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026