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
A•••••••• I••••••••• L••
Latest filing Feb 12, 2026
First filing on the tape Jun 22, 2021 · 7 filings
SEC status approved since Jul 22, 2021
RAUM
$197M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$197M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$197M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$197M as of Feb 12, 2026
Mar 18, 2022$155M then
HNW client RAUM$79.8M as of Feb 12, 2026
Mar 18, 2022$54.6M then
State-registered IARs (5.B.3)1 as of Feb 12, 2026
Mar 18, 20221 then
Employees (5.A)5 as of Feb 12, 2026
Mar 18, 20222 then
Private funds: no history
RAUM +8.9% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 12, 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
- $197MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 430derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $183,034derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- Individuals$118M60%
- High-net-worth individuals$79.8M40%
- Individual clients
- 385reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,079reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| A••••• K•••••• S•••• | Stockton, Ca | Aug 14, 2025 | 23 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
- A••••• K•••••• S•••• from A•••••••• I••••••••• M•••••••• I•••Aug 14, 2025 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• A•••••• K•••••• · President & Chief Compliance Officercontrolsince 06/2021 · 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 · 1,146 to 1,079Mar 19, 2025 to Feb 12, 2026
- HNW clients · 46 to 45Mar 19, 2025 to Feb 12, 2026
- Individual clients · 374 to 385Mar 19, 2025 to Feb 12, 2026
- Employees · 3 to 5Mar 19, 2025 to Feb 12, 2026
- Discretionary RAUM · $174M to $189MMar 19, 2025 to Feb 12, 2026
- HNW RAUM · $65.3M to $79.8MMar 19, 2025 to Feb 12, 2026
- Individual RAUM · $116M to $118MMar 19, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $7.9M to $8.0MMar 19, 2025 to Feb 12, 2026
- RAUM · $181M to $197MMar 19, 2025 to Feb 12, 2026
- Accounts · 1,066 to 1,146Feb 27, 2024 to Mar 19, 2025
- Charity clients · 1.0 to unsetFeb 27, 2024 to Mar 19, 2025
- HNW clients · 20 to 46Feb 27, 2024 to Mar 19, 2025
- Individual clients · 402 to 374Feb 27, 2024 to Mar 19, 2025
- Pension plan clients · 2.0 to unsetFeb 27, 2024 to Mar 19, 2025
- Employees · 2 to 3Feb 27, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 1-10Feb 27, 2024 to Mar 19, 2025
- Discretionary RAUM · $154M to $174MFeb 27, 2024 to Mar 19, 2025
- HNW RAUM · $49.0M to $65.3MFeb 27, 2024 to Mar 19, 2025
- Individual RAUM · $105M to $116MFeb 27, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $4.3M to $7.9MFeb 27, 2024 to Mar 19, 2025
- Pension RAUM · 3892690.0 to unsetFeb 27, 2024 to Mar 19, 2025
- RAUM · $158M to $181MFeb 27, 2024 to Mar 19, 2025
- Accounts · 1,193 to 1,066Mar 15, 2023 to Feb 27, 2024
- Charity clients · unset to 1.0Mar 15, 2023 to Feb 27, 2024
- HNW clients · 44 to 20Mar 15, 2023 to Feb 27, 2024
- Individual clients · 347 to 402Mar 15, 2023 to Feb 27, 2024
- Pension plan clients · unset to 2.0Mar 15, 2023 to Feb 27, 2024
- Financial planning clients · 1-10 to 0Mar 15, 2023 to Feb 27, 2024
- Discretionary RAUM · $118M to $154MMar 15, 2023 to Feb 27, 2024
- HNW RAUM · $42.6M to $49.0MMar 15, 2023 to Feb 27, 2024
- Individual RAUM · $76.6M to $105MMar 15, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $4.1M to $4.3MMar 15, 2023 to Feb 27, 2024
- Pension RAUM · $2.4M to $3.9MMar 15, 2023 to Feb 27, 2024
- RAUM · $122M to $158MMar 15, 2023 to Feb 27, 2024
- Accounts · 1,058 to 1,193Mar 18, 2022 to Mar 15, 2023
- HNW clients · 43 to 44Mar 18, 2022 to Mar 15, 2023
- Individual clients · 343 to 347Mar 18, 2022 to Mar 15, 2023
- Financial planning clients · 0 to 1-10Mar 18, 2022 to Mar 15, 2023
- Discretionary RAUM · $139M to $118MMar 18, 2022 to Mar 15, 2023
- HNW RAUM · $54.6M to $42.6MMar 18, 2022 to Mar 15, 2023
Signals
2 dated events
- A•••••••• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 22, 2021 · Succession (Item 4) · fact
- A•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Jun 22, 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
- Business phone
- 209-636-4931reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A••••••••INV.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 209-636-4931reportedpublic record, Form ADV, Feb 12, 2026
- Contact form
- attentiveinv.com/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
- $197Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026