DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T••••• C•••••• M••••••••• I•••

T••••• C•••••• M••••••••• CORP, CRD 107856

WOODCLIFF LAKE, NJ

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:a17926c4-54fd-65a4-922d-ec5e4149139b

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
27 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=0.87 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $280M••• Locked
Discretionary RAUM: $280M
Private client RAUM: $244Mderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $69.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K••• G• S••••	Chartered Financial Analyst	WOODCLIFF LAKE, NJ	12	40	n/a	no
L••••• L••• W•••	Chartered Financial Analyst	WOODCLIFF LAKE, NJ	12	36

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• J•••• F•••	BOARD SECRETARY	D	yes	03/1991	Mar 30, 2012	Apr 1, 2024
S••••• K•••• G•	PRESIDENT/CHIEF INVESTMENT OFFICER	B	yes	03/1991	Mar 30, 2012	Apr 1, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	0	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	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	$280M	$247M	13.4%	$190M	13.8%	5	5	1	1

Relationships

Registered with (4)

← W•••••• C•••Advisorregistration: current employment
Oct 25, 2022 to presentfactForm ADV
← A••••• A••••••Advisorregistration: current employment
Aug 23, 2017 to presentfactForm ADV
← K••• G• S••••Advisorregistration: current employment
Nov 22, 2013 to presentfactForm ADV
← L••••• L••• W•••Advisor

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a17926c4-54fd-65a4-922d-ec5e4149139b
First observed: Mar 30, 2012
Last observed: Mar 30, 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.