DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

C••••••••• A••••••• S••••••• I••

CRD 110904

NAPLES, FL

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

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Data as of Sep 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 6
On other graphs: 0
Observed: Nov 22, 2011 to Sep 8, 2026
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: independent wealth managerderived••• Locked
Regulatory AUM: $1.6B••• Locked
Discretionary RAUM: $0
Private client RAUM: $1.6Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $159Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•• C••••••••• K•••••	Certified Financial Planner	NAPLES, FL	40	42	1	yes
R•••••• F•••• C•••••••••	n/a	NAPLES, FL \| ROCHESTER, NY	40	42

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• L••••• K•••	CCO/COO	Na	yes	09/2025	Sep 8, 2026	Sep 8, 2026
C••••••••• R••••••• F••••	VICE- PRESIDENT, OWNER	D	yes	10/1985	Sep 8, 2026	Sep 8, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Rochester	NY	United States	4	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
2024	$1.6B	$1.1B	38.1%	$1.2B	10.5%	16	15	1	1

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•• S••••••••• C•••••••••	6	Nov 3, 2023	Sep 10, 2012	NAPLES, FL	Team lift out	Ibd to RIA	1.2%

Relationships

Owns (2)

← R••••• J•••• C•••••••••OwnerVICE- PRESIDENT, ownership code NA, individual
Sep 8, 2026 to presentfactForm ADV
← C••••••••• P•••• F••••OwnerVICE- PRESIDENT, ownership code NA, individual
Sep 8, 2026 to presentfactForm ADV

Controls (4)

← K•••••• K••• C•••••••••OwnerPRESIDENT, OWNER, ownership code D, individual
Sep 8, 2026 to presentfactForm ADV
← C••••••••• R••••••• F••••OwnerVICE- PRESIDENT, OWNER, ownership code D, individual

Dated events

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

Order

Occurred
3 Nov 2023
Team lift-out
••• Locked
Form ADV
6 advisors
Occurred
22 Nov 2021
Regulatory AUM changed
••• Locked
Form ADV
$252M

Show 4 bookkeeping events

Occurred
Sep 8, 2026
••• Locked
Occurred
Sep 8, 2026
••• Locked
Occurred
Sep 8, 2026
••• Locked
Occurred
Sep 8, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 22, 2011
Last observed: Sep 8, 2026 16 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.

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Nov 24, 2014	$565M	$0	9	9	n/a	n/a	n/a
2013	Nov 27, 2013	$487M	$0	41	13	n/a	n/a	n/a
2012	Nov 28, 2012	$414M	$0	41	12	n/a	n/a	n/a
2011	Nov 22, 2011	$299M	$0	n/a	n/a	n/a	n/a	n/a