DFX Intelligence
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T••••••••
Asset manager (funds and pooled vehicles), reporting $386M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $386M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- Not established
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
IAPD registration history
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 327980 · SEC 801-128674 · 8 filingsShowHide
CRD 327980SEC 801-128674Legal name T••• F••••••• I•••First filing on the tape Aug 2, 2023, latest Jun 2, 2026SEC status approved since Sep 1, 2023IAPD
RAUM
$386M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$386M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$386M as of Jun 2, 2026
May 21, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 2, 2026
May 21, 20241 then
Employees (5.A)2 as of Jun 2, 2026
May 21, 20242 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 2, 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
- $386MderivedRAUM 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
- $96.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$386M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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 |
|---|---|---|---|---|
| S•••••• B••••• K••••• | Seattle, Wa | Sep 1, 2023 | 21 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• S••••••• B••••• · Managing Membercontrolsince 02/2023 · owns 75% or more
- C•••• S•••••• · Chief Compliance Officersince 01/2024 · owns less than 5%
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 to 4Jul 17, 2025 to Jun 2, 2026
- Discretionary RAUM · $31.3M to $386MJul 17, 2025 to Jun 2, 2026
- RAUM · $31.3M to $386MJul 17, 2025 to Jun 2, 2026
- Financial planning clients · unset to Jun 27, 2025 to Jul 17, 2025
- State-registered IARs · 1 to 0Jun 27, 2025 to Jul 17, 2025
- Accounts · 0 to 1Sep 19, 2024 to Jun 27, 2025
- HQ city · unset to Sep 19, 2024 to Jun 27, 2025
- HQ state · unset to Sep 19, 2024 to Jun 27, 2025
- Discretionary RAUM · $0 to $31.3MSep 19, 2024 to Jun 27, 2025
- RAUM · $0 to $31.3MSep 19, 2024 to Jun 27, 2025
- Business name · T••• F•••••• to T••••••••May 21, 2024 to Sep 19, 2024
- Advisory activities · 1 to 2Aug 22, 2023 to Jan 16, 2024
- Employees · 1 to 2Aug 22, 2023 to Jan 16, 2024
Signals
2 dated events
- ••• LockedJan 16, 2024 · Control person joined · fact
- ••• LockedAug 2, 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 2, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 2, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $386Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026