DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

K••• A•••••••• I•••

CRD 117816

DURHAM, NC

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Search this name across graphsid dfx:ria:1f5154fc-b0f4-cb57-05bc-151b7503cc17

Data as of May 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 1
Observed: Mar 23, 2012 to May 22, 2026
36 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

K••• A••••••• I••

Family office · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $801M••• Locked
Discretionary RAUM: $801M
Private client RAUM: $795Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $200Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••• A••••• K•••	n/a	DURHAM, NC	22	33	n/a	no
R••••• H••••• O••••	Certified Financial Planner	DURHAM, NC	3	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••• M•••• A•••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	D	yes	04/1993	Mar 23, 2012	Feb 29, 2024
R••••• S••••• W••••••	FINANCIAL ADVISOR	C	yes	01/2015	Jul 10, 2015	Feb 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••• A• K•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$801M	$754M	6.2%	$632M	8.2%	8	8	0	0

Relationships

Registered with (7)

← R••• P••••• C•••••••Advisorregistration: current employment
Sep 11, 2026 to presentfactForm ADV
← K••• J••• F•••••••Advisorregistration: current employment
Aug 8, 2024 to presentfactForm ADV
← R••••• H••••• O••••Advisorregistration: current employment
Dec 12, 2022 to presentfactForm ADV
← M••• A••••• K•••

Dated events

Occurred
Feb 19, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$198M
Occurred
Jan 4, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2021
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1f5154fc-b0f4-cb57-05bc-151b7503cc17
First observed: Mar 23, 2012
Last observed: May 22, 2026 4 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.