DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
K••••••• F•••••••• P•••••••• I••
Latest filing Feb 27, 2026
First filing on the tape Feb 21, 2012 · 19 filings
SEC status approved since Aug 14, 1987
RAUM
$407M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$407M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$407M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$407M as of Feb 27, 2026
Feb 21, 2012$104M then
HNW client RAUM$390M as of Feb 27, 2026
Mar 20, 2018$200M then
State-registered IARs (5.B.3)1 as of Feb 27, 2026
Feb 21, 20120 then
Employees (5.A)2 as of Feb 27, 2026
Feb 13, 20134 then
Private funds: no history
RAUM +7.8% over the last fiscal year+5.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $407MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 117derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $908,340derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$390M96%
- Individuals$17.2M4.2%
- Individual clients
- 43reported
- HNW clients
- 74reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 448reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• L• S••••••Certified Financial Planner | Westlake, Oh | Dec 10, 1999 | 39 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• L••••• A• · Shareholdercontrolsince 08/1986 · owns 25% to 50%
- P••••••• B••••••• · Chief Compliance Officer/President/Secretarycontrolsince 08/2014 · owns less than 5%
- S••••••• K••••• L• · Ceo, Treasurercontrolsince 08/1986 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 27, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-07, no on the filing of 2026-02-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 435 to 448Mar 7, 2025 to Feb 27, 2026
- Individual clients · 45 to 43Mar 7, 2025 to Feb 27, 2026
- Assets in custody · $214M to $210MMar 7, 2025 to Feb 27, 2026
- Custody of client assets · true to falseMar 7, 2025 to Feb 27, 2026
- Discretionary RAUM · $377M to $407MMar 7, 2025 to Feb 27, 2026
- HNW RAUM · $360M to $390MMar 7, 2025 to Feb 27, 2026
- Individual RAUM · $17.0M to $17.2MMar 7, 2025 to Feb 27, 2026
- RAUM · $377M to $407MMar 7, 2025 to Feb 27, 2026
- Accounts · 434 to 435Mar 8, 2024 to Mar 7, 2025
- HNW clients · 73 to 74Mar 8, 2024 to Mar 7, 2025
- Individual clients · 48 to 45Mar 8, 2024 to Mar 7, 2025
- Assets in custody · $174M to $214MMar 8, 2024 to Mar 7, 2025
- Financial planning clients · 51-100 to 51-100Mar 8, 2024 to Mar 7, 2025
- HQ city · MIDDLEBURG HEIGHTS to WESTLAKEMar 8, 2024 to Mar 7, 2025
- Discretionary RAUM · $351M to $377MMar 8, 2024 to Mar 7, 2025
- HNW RAUM · $331M to $360MMar 8, 2024 to Mar 7, 2025
- Individual RAUM · $19.9M to $17.0MMar 8, 2024 to Mar 7, 2025
- RAUM · $351M to $377MMar 8, 2024 to Mar 7, 2025
- Accounts · 417 to 434Mar 24, 2023 to Mar 8, 2024
- Individual clients · 47 to 48Mar 24, 2023 to Mar 8, 2024
- Assets in custody · unset to 174169390.0Mar 24, 2023 to Mar 8, 2024
- Custody of client assets · false to trueMar 24, 2023 to Mar 8, 2024
- Discretionary RAUM · $343M to $351MMar 24, 2023 to Mar 8, 2024
- HNW RAUM · $326M to $331MMar 24, 2023 to Mar 8, 2024
- Individual RAUM · $17.3M to $19.9MMar 24, 2023 to Mar 8, 2024
- RAUM · $343M to $351MMar 24, 2023 to Mar 8, 2024
- Accounts · 412 to 417Nov 4, 2022 to Mar 24, 2023
- HNW clients · 71 to 73Nov 4, 2022 to Mar 24, 2023
- Individual clients · 37 to 47Nov 4, 2022 to Mar 24, 2023
- Discretionary RAUM · $337M to $343MNov 4, 2022 to Mar 24, 2023
- HNW RAUM · $321M to $326MNov 4, 2022 to Mar 24, 2023
- Individual RAUM · $16.3M to $17.3MNov 4, 2022 to Mar 24, 2023
- RAUM · $337M to $343MNov 4, 2022 to Mar 24, 2023
- Accounts · 414 to 412Mar 19, 2021 to Mar 17, 2022
- HNW clients · 74 to 71Mar 19, 2021 to Mar 17, 2022
- Individual clients · 41 to 37Mar 19, 2021 to Mar 17, 2022
- Discretionary RAUM · $276M to $337MMar 19, 2021 to Mar 17, 2022
- HNW RAUM · $259M to $321MMar 19, 2021 to Mar 17, 2022
- Individual RAUM · $17.2M to $16.3MMar 19, 2021 to Mar 17, 2022
- RAUM · $276M to $337MMar 19, 2021 to Mar 17, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 440-234-6323reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- K•••••••FIN.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 440-234-6323reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- k•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- k•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $407Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026