DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

K••• • C•••••• I••••••••• C••••••• L••

CRD 306434

CHICAGO, IL

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Data as of Apr 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 7
On other graphs: 0
Observed: Nov 14, 2019 to Apr 6, 2026
18 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=0.67 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $183M••• Locked
Discretionary RAUM: $170M
Private client RAUM: $123Mderived••• Locked
Private client share: 67%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $60.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• J••••• K•••	n/a	CHICAGO, IL	6	29	2	no
K•••• A•••••••• K•••	n/a	CHICAGO, IL	6	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••• K••••• A••••••••	MANAGING MEMBER/CCO	D	yes	01/2022	Jun 14, 2022	Nov 5, 2024
M•••••••• M••••••• C•	MANAGING MEMBER	D	yes	01/2022	Jun 14, 2022	Nov 5, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K••• • C••••••• C••• H••••••• P•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

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	$183M	$153M	19.1%	$108M	19.0%	3	3	1	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• F•••••••• N••••••	2	Nov 1, 2019	Dec 17, 2019	NAPERVILLE, IL	Team lift out	Ibd to new firm	0.1%

Relationships

Registered with (3)

← S•••••• V••••••• G•••••Advisorregistration: current employment
Sep 11, 2025 to presentfactForm ADV
← J•••• J••••• K•••Advisorregistration: current employment
Dec 17, 2019 to presentfactForm ADV
← K•••• A•••••••• K•••Advisorregistration: current employment
Dec 17, 2019 to presentfactForm ADV

Controls (2)

Dated events

Order

Occurred
6 Apr 2026
Ria office opened
••• Locked
Form ADV
Occurred
14 Jun 2022
First Form ADV filing
••• Locked
Form ADV
Occurred
14 Jun 2022
Control person joined2 events
K••• • C•••••• I••••••••• C••••••• L••: control person joined, 2 events, on 14 Jun 2022
- ••• Locked
- ••• Locked
Occurred
14 Jun 2022
Control person left2 events
K••• • C•••••• I••••••••• C••••••• L••: control person left, 2 events, on 14 Jun 2022
- ••• Locked
- ••• Locked
Occurred
19 Mar 2020
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 14, 2019
Last observed: Apr 6, 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.