DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

K•••• C•••••• • A••••••••• I•••

CRD 115582

FARMINGTON, CT

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Data as of Sep 8, 2021 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 6
On other graphs: 1
Observed: Mar 30, 2012 to Sep 8, 2021
34 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

K•••• C•••••• • A••••••••• I•••

Investment consultant · same CRD

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $609M••• Locked
Discretionary RAUM: $609M
Private client RAUM: $593Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• J••••••• P•••	VICE PRESIDENT/SECRETARY	D	yes	07/2005	Mar 30, 2012	Sep 8, 2021
K•••• R•••••• A•••	PRESIDENT / TREASURER / CHIEF COMPLIANCE OFFICER	D	yes	07/1999	Mar 30, 2012	Sep 8, 2021

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Wallingford	Ct	United States	2	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$609M	$498M	22.3%	$415M	13.6%	9	8	3	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••• L••	4	May 12, 2022	May 10, 2022	FARMINGTON, CT	Firm absorbed	RIA to ibd	80.0%

Relationships

Controls (2)

← K•••• R•••••• A•••OwnerPRESIDENT / TREASURER / CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV
← C••••••• J••••••• P•••OwnerVICE PRESIDENT/SECRETARY, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (5)

← R••••• A••• K•••Advisorregistration: previous registration
Jul 23, 1990 to May 12, 2022factForm ADV
← D••••• J••• K••••••

Dated events

Order

Occurred
12 May 2022
Advisor changed firm5 events
K•••• C•••••• • A••••••••• I•••: advisor changed firm, 5 counterparties, on 12 May 2022
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
12 May 2022
Firm absorbed
••• Locked
Form ADV
4 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Sep 8, 2021 61 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.