DFX Intelligence

D•••• I••••••••• A••••••• C•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

D•••• I••••••••• A••••••• C•••••••••

CRD 123499

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Search this name across graphsid dfx:ria:120a6c9a-6726-e96d-f560-2ae1fe150f68

Data as of Nov 12, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Nov 14, 2011 to Nov 12, 2025
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $135M••• Locked
Discretionary RAUM: $135M
Private client RAUM: $135Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $135Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• K•••• N•••••	Chartered Financial Analyst	WESTWOOD, MA	23	24	n/a	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N•••••• S•••••• K••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	11/2001	Nov 14, 2011	Nov 26, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$135M	$112M	20.5%	$126M	2.5%	1	1	0	0

Relationships

Registered with (1)

← S••••• K•••• N•••••Advisorregistration: current employment
Jan 3, 2003 to presentfactForm ADV

Controls (1)

← N•••••• S•••••• K••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 14, 2011 to Nov 26, 2024factForm ADV

Dated events

Occurred
Nov 6, 2018
First Form ADV filing
D•••• I••••••••• A••••••• C••••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:120a6c9a-6726-e96d-f560-2ae1fe150f68
First observed: Nov 14, 2011
Last observed: Nov 12, 2025 10 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.