DFX Intelligence
RIA Intelligence
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SEC-registered adviser
K•• I••••••••• L••
Latest filing Jul 30, 2026
First filing on the tape Aug 28, 2025 · 4 filings
SEC status approved since Aug 8, 2025
RAUM
$700M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$700M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$700M as of Jul 30, 2026
Aug 28, 2025$0 then
HNW client RAUM$665M as of Jul 30, 2026
Dec 9, 2025$656M then
State-registered IARs (5.B.3)4 as of Jul 30, 2026
Aug 28, 20253 then
Employees (5.A)7 as of Jul 30, 2026
Aug 28, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $700MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$665M95%
- Individuals$35.6M5.1%
- Individual clients
- 75reported
- HNW clients
- 109reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 184reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $700M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• R•• M••••• | Seal Beach, Ca | Aug 29, 2025 | 42 y | 1 |
| M•••••• V••••••• G•••••• | Seal Beach, Ca | Aug 29, 2025 | 26 y | 3 |
| J••••• R• A••• | Seal Beach, Ca | Aug 29, 2025 | 26 y | 1 |
| J••• D••••• S•••••• | Seal Beach, Ca | Aug 29, 2025 | 21 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•••• R•• M••••• from U•• F•••••••• S••••••• I•••Aug 29, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• V••••••• G•••••• from U•• F•••••••• S••••••• I•••Aug 29, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••• R• A••• from U•• F•••••••• S••••••• I•••Aug 29, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• D••••• S•••••• from U•• F•••••••• S••••••• I•••Aug 29, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from U•• F•••••••• S••••••• I•••Sep 8, 2025 · Long Beach, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• J•••••• R• · Owner/Partner Officercontrolsince 07/2025 · owns 50% to 75%
- S••••••• J•••• D••••• · Owner/Partnercontrolsince 07/2025 · owns 25% to 50%
- B•••••••• P••••• R••••• · Director Of Business Operationssince 10/2025 · owns less than 5%
- G••••••• M••••••• V••••••• · Owner/Partnersince 07/2025 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Seal Beach, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 183 to 184Dec 9, 2025 to Mar 19, 2026
- Advisory employees · 3 to 4Dec 9, 2025 to Mar 19, 2026
- BD registered reps · 0 to 1Dec 9, 2025 to Mar 19, 2026
- Individual clients · 74 to 75Dec 9, 2025 to Mar 19, 2026
- Employees · 3 to 7Dec 9, 2025 to Mar 19, 2026
- State-registered IARs · 3 to 4Dec 9, 2025 to Mar 19, 2026
- Discretionary RAUM · $643M to $646MDec 9, 2025 to Mar 19, 2026
- HNW RAUM · $656M to $665MDec 9, 2025 to Mar 19, 2026
- Individual RAUM · $35.9M to $35.6MDec 9, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $49.1M to $53.7MDec 9, 2025 to Mar 19, 2026
- RAUM · $692M to $700MDec 9, 2025 to Mar 19, 2026
- Wrap assets (sponsor) · $692M to $700MDec 9, 2025 to Mar 19, 2026
- Accounts · 0 to 183Aug 28, 2025 to Dec 9, 2025
- HNW clients · unset to 109.0Aug 28, 2025 to Dec 9, 2025
- Individual clients · unset to 74.0Aug 28, 2025 to Dec 9, 2025
- Discretionary RAUM · $0 to $643MAug 28, 2025 to Dec 9, 2025
- HNW RAUM · unset to 655861516.0Aug 28, 2025 to Dec 9, 2025
- Individual RAUM · unset to 35904529.0Aug 28, 2025 to Dec 9, 2025
- Non-discretionary RAUM · $0 to $49.1MAug 28, 2025 to Dec 9, 2025
- RAUM · $0 to $692MAug 28, 2025 to Dec 9, 2025
- Wrap assets (sponsor) · $0 to $692MAug 28, 2025 to Dec 9, 2025
Signals
1 dated events
- 4 advisors left U•• F•••••••• S••••••• I••• (Long Beach, CA) for K•• I••••••••• L•• a day apartSep 8, 2025 · Team lift-out · derived
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
- k•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 562-606-5834reportedpublic record, Form ADV, Jul 30, 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
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026