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H••••••••• W••••• P•••••••

Former SEC-registered adviserFormer SEC adviser· Escondido, Californiawebsite

Former SEC-registered adviser, based in Escondido, California, reporting $38.3M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$38.3M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
98%
of RAUM, $37.4M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 333146 · SEC 801-131359 · 3 filingsShow
CRD 333146SEC 801-131359Legal name H••••••••• W••••• L••First filing on the tape Sep 25, 2024, latest Jan 29, 2025SEC status 120-day approval since Oct 25, 2024IAPD
RAUM
$38.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$37.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$38.3M
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
3 filings and snapshots on the tape

Filed figures over time · the tape starts Sep 25, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$38.3M as of Jan 29, 2025
Sep 25, 2024$0 then
HNW client RAUM: $16.7M
State-registered IARs (5.B.3)1 as of Jan 29, 2025
Sep 25, 20241 then
Employees (5.A)1 as of Jan 29, 2025
Sep 25, 20241 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 29, 2025; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$38.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
101derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.0MderivedHNW RAUM over HNW clients
Average account
$160,272derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office 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, hourly, fixed feesreportedItem 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
$23.6M, 77 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

54% individuals, 44% high-net-worth individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow
  • Individuals$20.7M54%
  • High-net-worth individuals$16.7M44%
  • Pension and profit-sharing plans$924,0002.4%
  • Charitable organizations$26,0000.1%
Individual clients
85reported
HNW clients
16reported
Pension plan clients
2reported
Charitable clients
1reported
Accounts
239reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$23.6M for 77 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    S•••• J• K•••••Escondido, CaOct 25, 202414 y2
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••• S••••• J• · Cco, Ceo, And Foundercontrol
      since 09/2024 · 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 · 0 to 239
      Oct 25, 2024 to Jan 29, 2025
    • Charity clients · unset to 1.0
      Oct 25, 2024 to Jan 29, 2025
    • HNW clients · unset to 16.0
      Oct 25, 2024 to Jan 29, 2025
    • Individual clients · unset to 85.0
      Oct 25, 2024 to Jan 29, 2025
    • Pension plan clients · unset to 2.0
      Oct 25, 2024 to Jan 29, 2025
    Full history · 12 changes
    • Assets in custody · unset to 23618453.0
      Oct 25, 2024 to Jan 29, 2025
    • Custody of client assets · false to true
      Oct 25, 2024 to Jan 29, 2025
    • Discretionary RAUM · $0 to $38.3M
      Oct 25, 2024 to Jan 29, 2025
    • HNW RAUM · unset to 16680000.0
      Oct 25, 2024 to Jan 29, 2025
    • Individual RAUM · unset to 20675000.0
      Oct 25, 2024 to Jan 29, 2025
    • Pension RAUM · unset to 924000.0
      Oct 25, 2024 to Jan 29, 2025
    • RAUM · $0 to $38.3M
      Oct 25, 2024 to Jan 29, 2025
    Signals
    2 dated events
    • ••• Locked
      May 2, 2025 · Left the SEC roster · derived
    • ••• Locked
      Sep 25, 2024 · 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, Apr 28, 2026
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $38.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026