DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M• K•••• • C••••••

CRD 106749

SHELBURNE, VT

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Search this name across graphsid dfx:ria:78f08efc-02c3-f228-5407-ba3a977a13e4

Data as of Aug 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Mar 16, 2012 to Aug 3, 2026
34 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=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $559M••• Locked
Discretionary RAUM: $518M
Private client RAUM: $542Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $112Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• J••• K••••	Chartered Financial Analyst	SHELBURNE, VT	30	42	n/a	no
D••••• M•••• D•••••	n/a	SHELBURNE, VT	25	30

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• C••••••••• M••••••	EXECUTIVE VICE PRESIDENT	Na	yes	11/2014	Mar 18, 2015	Oct 29, 2024
D•••••• D•••••• M••••	SENIOR VICE PRESIDENT / CHIEF COMPLIANCE OFFICER	Na	yes	01/2018	Mar 5, 2018	Oct 29, 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	$559M	$524M	6.8%	$448M	7.7%	5	5	0	0

Relationships

Registered with (6)

← K•••••••• H••••• S••••Advisorregistration: current employment
Aug 29, 2025 to presentfactForm ADV
← T••••• B••••••• U••••Advisorregistration: current employment
Jul 19, 2019 to presentfactForm ADV
← C••••••••• M•••••• C•••••Advisorregistration: current employment
Apr 26, 2005 to presentfactForm ADV
← D••••• M•••• D•••••

Dated events

Occurred
Jan 21, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78f08efc-02c3-f228-5407-ba3a977a13e4
First observed: Mar 16, 2012
Last observed: Aug 3, 2026 51 days 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.