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••••• F••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Oct 3, 2023 · 7 filings
SEC status approved since Jan 30, 2024
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$173M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$25.2M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$176M as of Mar 23, 2026
Feb 13, 2024$138M then
HNW client RAUM$130M as of Mar 23, 2026
Feb 13, 2024$101M then
State-registered IARs (5.B.3)6 as of Mar 23, 2026
Feb 13, 20247 then
Employees (5.A)8 as of Mar 23, 2026
Feb 13, 20248 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 7 to 6
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $25.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $654,982derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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$130M74%
- Individuals$43.5M25%
- Other investment advisers$2.0M1.1%
- Individual clients
- 224reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 269reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• G•••• | Moorpark, Ca | Jun 25, 2021 | 23 y | 1 |
| S••••• E•••••• H••••• | Moorpark, Ca | Jun 25, 2021 | 18 y | 5 |
| K••• S•••••• H••••• | Lake Balboa, Ca | Sep 10, 2021 | 34 y | 3 |
| J••••••• M•••••• F••••• | Westlake Village, Ca | Jan 1, 2023 | 16 y | 0 |
| I••• M••• F••••• | Oak Park, Ca | May 25, 2023 | 35 y | 2 |
| S•••••• M•••••• E•••••••• | Moorpark, Ca | Jan 5, 2024 | 20 y | 0 |
| C••••••• G•••• T•• | Moorpark, Ca | Apr 23, 2025 | 10 y | 0 |
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
- I••• M••• F••••• from W•••••• I••••••••• S•••••••••May 25, 2023 · Affiliated broker-dealer or bank to independent RIA
- K••• S•••••• H••••• from K••••• F••••••••• L••Sep 10, 2021 · Other
- S••••• E•••••• H••••• from W•••••• I••••••••• S•••••••••Jun 25, 2021 · Other
- A•••••• G•••• from K••••• F••••••••• L••Jun 25, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K••••• F••••••••• L••Aug 1, 2021 · Long Beach, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• S•••••• E•••••• · Owner, Ceo, Cco, Cio, Iarcontrolsince 12/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Moorpark, Ca · principal | 6 | 0 | 0 | ||
| Westlake Village, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Westlake Village, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 263 to 269Mar 19, 2025 to Mar 23, 2026
- Advisory employees · 7 to 6Mar 19, 2025 to Mar 23, 2026
- HNW clients · 37 to 45Mar 19, 2025 to Mar 23, 2026
- Individual clients · 221 to 224Mar 19, 2025 to Mar 23, 2026
- Employees · 7 to 8Mar 19, 2025 to Mar 23, 2026
- State-registered IARs · 7 to 6Mar 19, 2025 to Mar 23, 2026
- Discretionary RAUM · $150M to $176MMar 19, 2025 to Mar 23, 2026
- HNW RAUM · $104M to $130MMar 19, 2025 to Mar 23, 2026
- Individual RAUM · $43.4M to $43.5MMar 19, 2025 to Mar 23, 2026
- RAUM · $150M to $176MMar 19, 2025 to Mar 23, 2026
- Accounts · 237 to 263Feb 13, 2024 to Mar 19, 2025
- HNW clients · 36 to 37Feb 13, 2024 to Mar 19, 2025
- Individual clients · 196 to 221Feb 13, 2024 to Mar 19, 2025
- Assets in custody · 2351151.0 to unsetFeb 13, 2024 to Mar 19, 2025
- Custody of client assets · true to falseFeb 13, 2024 to Mar 19, 2025
- Employees · 8 to 7Feb 13, 2024 to Mar 19, 2025
- Financial planning clients · 101-250 to 101-250Feb 13, 2024 to Mar 19, 2025
- Discretionary RAUM · $138M to $150MFeb 13, 2024 to Mar 19, 2025
- HNW RAUM · $101M to $104MFeb 13, 2024 to Mar 19, 2025
- Individual RAUM · $34.8M to $43.4MFeb 13, 2024 to Mar 19, 2025
- RAUM · $138M to $150MFeb 13, 2024 to Mar 19, 2025
- Accounts · 240 to 237Jan 27, 2024 to Feb 13, 2024
- Charity clients · 1 to 0Jan 27, 2024 to Feb 13, 2024
- HNW clients · 32 to 36Jan 27, 2024 to Feb 13, 2024
- Individual clients · 203 to 196Jan 27, 2024 to Feb 13, 2024
- Assets in custody · $2.4M to $2.4MJan 27, 2024 to Feb 13, 2024
- Discretionary RAUM · $125M to $138MJan 27, 2024 to Feb 13, 2024
- HNW RAUM · $88.3M to $101MJan 27, 2024 to Feb 13, 2024
- Individual RAUM · $34.5M to $34.8MJan 27, 2024 to Feb 13, 2024
- RAUM · $125M to $138MJan 27, 2024 to Feb 13, 2024
- Other offices · 0 to 1Jan 25, 2024 to Jan 27, 2024
- Advisory employees · 6 to 7Oct 3, 2023 to Jan 5, 2024
- Employees · 7 to 8Oct 3, 2023 to Jan 5, 2024
- State-registered IARs · 6 to 7Oct 3, 2023 to Jan 5, 2024
Signals
1 dated events
- K••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Oct 3, 2023 · 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
- Business phone
- 833-453-5739reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- kelseyfinancial.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-453-5739reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- kelseyfinancial.net/contactreportedpublished by the firm, firm site, Sep 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
- $25.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026