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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

DANIEL KRUG & ASSOCIATES

DANIEL KRUG & ASSOCIATES, INC., CRD 298532

CLARKSTON, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2762c35e-7813-d658-6513-cd6ce286cd54

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: May 30, 2024 to Mar 25, 2026
3 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: $145MItem 5.F on the latest filing (2026-03-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $145M
Private client RAUM: $145MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $72.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,128
Individual clients: 137
High net worth clients: 55
Custody, client assets: $125M
SEC number: 801-130573
CRD: 298532
Filings on the tape: 3
First filed: May 30, 2024
Latest filed: Mar 25, 2026
Organised: Corporation, MI

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ROCKY HAROLD JOHN ISTVAN	n/a	CLARKSTON, MI	7	18	2	no
DANIEL MARTIN KRUG	n/a	CLARKSTON, MI	7	22	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ISTVAN, ROCKY, HAROLD JOHN	CHIEF COMPLIANCE OFFICER	Na	yes	09/2018	May 30, 2024	May 30, 2024
KRUG, DANIEL, MARTIN	CHIEF EXECUTIVE OFFICER	E	yes	03/2004	May 30, 2024	May 30, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026	$145M	$145M	7	2	0	n/a	n/a
2024	Mar 21, 2025	$131M	$131M	6	2	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$145M	$131M	10.8%	n/a	n/a	7	6	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	2	Dec 31, 2019	Jan 9, 2019	SARASOTA, FL	Team lift out	RIA to RIA	18.2%

Relationships

Registered with (2)

← ROCKY HAROLD JOHN ISTVANAdvisorregistration: current employment
Jan 9, 2019 to presentfactForm ADV
← DANIEL MARTIN KRUGAdvisorregistration: current employment
Jan 9, 2019 to presentfactForm ADV

Controls (2)

← ISTVAN, ROCKY, HAROLD JOHNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 30, 2024 to May 30, 2024factForm ADV
← KRUG, DANIEL, MARTINOwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
May 30, 2024 to May 30, 2024factForm ADV

Moved with (1)

← GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviser2 advisors, team lift out, same day
Dec 31, 2019 to Jan 9, 2019factForm ADV

Dated events

Occurred
May 30, 2024
First Form ADV filing
Daniel Krug & Associates filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2762c35e-7813-d658-6513-cd6ce286cd54
First observed: May 30, 2024
Last observed: Mar 25, 2026 5 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.

DANIEL KRUG & ASSOCIATES

DANIEL KRUG & ASSOCIATES, INC., CRD 298532

CLARKSTON, MI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2762c35e-7813-d658-6513-cd6ce286cd54

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:26 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROCKY HAROLD JOHN ISTVAN

n/a

CLARKSTON, MI

DANIEL MARTIN KRUG

n/a

CLARKSTON, MI

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ISTVAN, ROCKY, HAROLD JOHN

CHIEF COMPLIANCE OFFICER

yes

09/2018

May 30, 2024

KRUG, DANIEL, MARTIN

CHIEF EXECUTIVE OFFICER

yes

03/2004

May 30, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 25, 2026

$145M

n/a

2024

Mar 21, 2025

$131M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$145M

$131M

10.8%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

Dec 31, 2019

Jan 9, 2019

SARASOTA, FL

Team lift out

RIA to RIA

18.2%