DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

K•••• • D••••••

K•••• & ASSOCIATES, INC., CRD 107961

FORT WORTH, TX

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Search this name across graphsid dfx:ria:37b881c2-814b-cbb0-01a2-bb8a5ea57e15

Data as of Mar 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 6
On other graphs: 0
Observed: Mar 28, 2012 to Mar 17, 2025
29 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $202M••• Locked
Discretionary RAUM: $202M
Private client RAUM: $180Mderived••• Locked
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• M••••••• K•	VICE PRESIDENT	Na	yes	01/2021	Jan 28, 2021	Dec 16, 2024
K••••• J•••• H•••	PRESIDENT, CHIEF COMPLIANCE OFFICER AND CHIEF INVESTMENT OFFICER	E	yes	09/1994	Mar 28, 2012	Dec 16, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	$202M	$173M	16.6%	$168M	6.4%	4	4	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••• S••••• P•••••••	2	Aug 1, 2025	Apr 15, 2025	FORT WORTH, TX	Team lift out	RIA to ibd	100.0%

Relationships

Registered with (3)

← J••• H••• K••••Advisorregistration: previous registration
Jun 7, 2006 to Aug 1, 2025factForm ADV
← M•••••• D••••••Advisorregistration: previous registration
Jun 11, 2013 to Aug 1, 2025factForm ADV
← B•••• C• R•••••••••Advisorregistration: previous registration
Jun 7, 2006 to Nov 20, 2012factForm ADV

Moved with (1)

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 1, 2025
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Aug 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Aug 1, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:37b881c2-814b-cbb0-01a2-bb8a5ea57e15
First observed: Mar 28, 2012
Last observed: Mar 17, 2025 18 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.