DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

G••••••• W••••• M••••••••• I•••

CRD 154159

PEORIA, IL

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Search this name across graphsid dfx:ria:cdb2ce7a-5ed7-6d44-f698-0f69215684a3

Data as of May 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 0
Observed: Mar 1, 2012 to May 19, 2026
17 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=0.59 fund_share=0.0 institutional_share=0.25 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $289M••• Locked
Discretionary RAUM: $213M
Private client RAUM: $170Mderived••• Locked
Private client share: 59%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $57.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• O••• K••••	n/a	PEORIA, IL	15	28	1	no
J••••• R••••• K••••	n/a	PEORIA, IL	6	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• K•••• R•••••	CHIEF INVESTMENT OFFICER	B	yes	01/2023	Mar 14, 2023	Mar 25, 2024
K••••• J•••••• R•••••	PRESIDENT, CEO AND CCO	E	yes	01/2021	Feb 1, 2021	Mar 25, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$289M	$250M	15.8%	$189M	15.2%	5	5	0	0

Relationships

Registered with (5)

← D••••• A••• P•••••••Advisorregistration: current employment
Feb 1, 2024 to presentfactForm ADV
← K••• R••••• G••••••Advisorregistration: current employment
Nov 21, 2022 to presentfactForm ADV
← B•••• L•• B•••••Advisorregistration: current employment
Sep 1, 2022 to presentfactForm ADV
← J••••• R••••• K••••

Dated events

Occurred
May 19, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Mar 14, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 1, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 1, 2021
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cdb2ce7a-5ed7-6d44-f698-0f69215684a3
First observed: Mar 1, 2012
Last observed: May 19, 2026 4 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.