DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

C•••••• I••••••••• M••••••••• C•

CRD 108642

MIAMI, FL

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Search this name across graphsid dfx:ria:5ae865c2-fb5e-78ab-ccc6-9a5a5f5af064

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Apr 2, 2012 to Mar 18, 2026
21 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: mixed wealth managerderivedprivate_client_share=0.2 fund_share=0.0 institutional_share=0.8 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $296M••• Locked
Discretionary RAUM: $296M
Private client RAUM: $59.4Mderived••• Locked
Private client share: 20%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $148Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• A•••••	n/a	MIAMI, FL	23	41	n/a	no
A••• J• P• W•••••	n/a	MIAMI, FL	23	26

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•••••• C•••••• L•	Hedge Fund	$6.4M	Mar 21, 2017	14	Apr 2, 2012	dropped	021-105764

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• K••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	05/2004	Apr 2, 2012	Mar 25, 2024

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	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
2025	$296M	$192M	54.5%	$224M	9.7%	3	2	0	0

Relationships

Registered with (2)

← A••• J• P• W•••••Advisorregistration: current employment
Jul 1, 2003 to presentfactForm ADV
← K•••• A•••••Advisorregistration: current employment
Jul 1, 2003 to presentfactForm ADV

Controls (1)

← A•••••• K••••OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Apr 2, 2012 to Mar 25, 2024factForm ADV

Advises (1)

Dated events

Occurred
Mar 18, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$104M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5ae865c2-fb5e-78ab-ccc6-9a5a5f5af064
First observed: Apr 2, 2012
Last observed: Mar 18, 2026 6 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.