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••••• I••••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Nov 17, 1989
RAUM
$328M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
99%
$327M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$328M as of Mar 30, 2026
Mar 29, 2012$105M then
HNW client RAUM$326M as of Mar 30, 2026
Mar 29, 2018$157M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)2 as of Mar 30, 2026
Mar 27, 20132 then
Private funds: no history
RAUM -1.1% over the last fiscal year+8.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.5MderivedHNW RAUM over HNW clients
- Average account
- $9.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$326M99%
- Corporations and businesses$1.8M0.6%
- Individuals$767,6980.2%
- Individual clients
- 2reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 34reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• R••••• K•••••Chartered Investment Counselor | Northfield, Il | Apr 11, 2023 | 37 y | 3 |
| G••• H••••• K••••• | Northfield, Il | Apr 11, 2023 | 37 y | 3 |
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
- K•••••• B••••• R••••• · Chief Investment Officercontrolsince 09/1989 · owns 25% to 50%
- K•••••• G•••• H••••• · President And Chief Compliance Officercontrolsince 09/1989 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Northfield, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 30, 2026HNW RAUM per HNW client of $10,513,033 against a peer median of $2,402,920 (4942 comparable advisers, 100.0th percentile, 5.5 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 35 to 34Mar 28, 2025 to Mar 30, 2026
- HNW clients · 34 to 31Mar 28, 2025 to Mar 30, 2026
- Individual clients · unset to 2.0Mar 28, 2025 to Mar 30, 2026
- Financial planning clients · to 0Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $269M to $302MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $330M to $326MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · unset to 767698.0Mar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $63.5M to $26.9MMar 28, 2025 to Mar 30, 2026
- RAUM · $332M to $328MMar 28, 2025 to Mar 30, 2026
- Accounts · 34 to 35Mar 28, 2024 to Mar 28, 2025
- Corporate clients · unset to 1.0Mar 28, 2024 to Mar 28, 2025
- HNW clients · 32 to 34Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $227M to $269MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $280M to $330MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · 1630552.0 to unsetMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $56.3M to $63.5MMar 28, 2024 to Mar 28, 2025
- RAUM · $284M to $332MMar 28, 2024 to Mar 28, 2025
- Accounts · 35 to 34Mar 29, 2023 to Mar 28, 2024
- HNW clients · 29 to 32Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $207M to $227MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $243M to $280MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $1.7M to $1.6MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $52.2M to $56.3MMar 29, 2023 to Mar 28, 2024
- RAUM · $259M to $284MMar 29, 2023 to Mar 28, 2024
- Accounts · 34 to 35Mar 16, 2022 to Mar 29, 2023
- Discretionary RAUM · $232M to $207MMar 16, 2022 to Mar 29, 2023
- HNW RAUM · $282M to $243MMar 16, 2022 to Mar 29, 2023
- Individual RAUM · $1.8M to $1.7MMar 16, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $74.7M to $52.2MMar 16, 2022 to Mar 29, 2023
- RAUM · $306M to $259MMar 16, 2022 to Mar 29, 2023
- Accounts · 36 to 34Mar 30, 2021 to Mar 16, 2022
- Charity clients · 1.0 to unsetMar 30, 2021 to Mar 16, 2022
- Corporate clients · 1.0 to unsetMar 30, 2021 to Mar 16, 2022
- HNW clients · 31 to 29Mar 30, 2021 to Mar 16, 2022
- Discretionary RAUM · $177M to $232MMar 30, 2021 to Mar 16, 2022
- HNW RAUM · $220M to $282MMar 30, 2021 to Mar 16, 2022
- Individual RAUM · $1.4M to $1.8MMar 30, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $62.8M to $74.7MMar 30, 2021 to Mar 16, 2022
- RAUM · $240M to $306MMar 30, 2021 to Mar 16, 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
- Principal office phone
- 847-441-2642reportedpublic record, Form ADV, Mar 30, 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
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026