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•••••••• G••••• • C••
Legal name K•••••••• A•••••••• I••
Latest filing Feb 26, 2026
First filing on the tape Mar 9, 2012 · 23 filings
SEC status approved since Sep 24, 1986
RAUM
$825M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$756M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$825M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$825M as of Feb 26, 2026
Mar 9, 2012$111M then
HNW client RAUM$454M as of Feb 26, 2026
Feb 16, 2018$137M then
State-registered IARs (5.B.3)0 as of Feb 26, 2026
Mar 9, 20120 then
Employees (5.A)6 as of Feb 26, 2026
Feb 13, 20132 then
Private funds: no history
RAUM +57% over the last fiscal year+31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $825MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 525derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $582,123derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +57%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +46%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $26.0M, 8 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- is a trust company (6.A.8)
- 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 cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$454M57%
- Individuals$303M38%
- Pension and profit-sharing plans$22.5M2.8%
- Corporations and businesses$20.6M2.6%
- Individual clients
- 425reported
- HNW clients
- 100reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 1,418reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $26.0M for 8 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| T•••••• P•••• F•••••••Certified Financial Planner | Saratoga Spring, Ny | Feb 27, 2023 | 17 y | 1 |
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
- T•••••• P•••• F••••••• from A••••• W••••• P•••••••• L••Feb 27, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• C••••••••• G••••• · President & Chief Compliance Officercontrolsince 06/2002 · owns 75% or more
- F•••••••• T••••••• P•••• · Princpal, Relationship Managersince 09/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 26, 2026RAUM (Item 5.F) moved from $524,701,866 to $825,450,300 (+57.0%) between the annual amendments of 2025-03-10 and 2026-02-26; the peer median change was +16.0% (1385 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 95% percentile
- account count surgeChange between filings · filing Feb 26, 2026accounts (Item 5.F.2.f) moved from 938.0 to 1,418.0 (+51.0%) between the annual amendments of 2025-03-10 and 2026-02-26; the peer median change was +6.0% (1256 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 938 to 1,418Mar 10, 2025 to Feb 26, 2026
- Advisory employees · 4 to 6Mar 10, 2025 to Feb 26, 2026
- Corporate clients · 21 to 20Mar 10, 2025 to Feb 26, 2026
- HNW clients · 90 to 100Mar 10, 2025 to Feb 26, 2026
- Individual clients · 270 to 425Mar 10, 2025 to Feb 26, 2026
- Pension plan clients · 6 to 17Mar 10, 2025 to Feb 26, 2026
- Assets in custody · $21.3M to $26.0MMar 10, 2025 to Feb 26, 2026
- Employees · 4 to 6Mar 10, 2025 to Feb 26, 2026
- Discretionary RAUM · $524M to $825MMar 10, 2025 to Feb 26, 2026
- HNW RAUM · $286M to $454MMar 10, 2025 to Feb 26, 2026
- Individual RAUM · $191M to $303MMar 10, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $307,638 to $350,598Mar 10, 2025 to Feb 26, 2026
- Pension RAUM · $10.7M to $22.5MMar 10, 2025 to Feb 26, 2026
- RAUM · $525M to $825MMar 10, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $245,365 to $307,638Mar 6, 2024 to Mar 10, 2025
- Pension RAUM · $6.8M to $10.7MMar 6, 2024 to Mar 10, 2025
- RAUM · $437M to $525MMar 6, 2024 to Mar 10, 2025
- Accounts · 791 to 938Mar 6, 2024 to Mar 10, 2025
- Corporate clients · 10 to 21Mar 6, 2024 to Mar 10, 2025
- HNW clients · 80 to 90Mar 6, 2024 to Mar 10, 2025
- Individual clients · 196 to 270Mar 6, 2024 to Mar 10, 2025
- Pension plan clients · 3 to 6Mar 6, 2024 to Mar 10, 2025
- Assets in custody · $19.5M to $21.3MMar 6, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 6, 2024 to Mar 10, 2025
- Discretionary RAUM · $437M to $524MMar 6, 2024 to Mar 10, 2025
- HNW RAUM · $228M to $286MMar 6, 2024 to Mar 10, 2025
- Individual RAUM · $172M to $191MMar 6, 2024 to Mar 10, 2025
- Accounts · 744 to 791Mar 6, 2023 to Mar 6, 2024
- Advisory employees · 3 to 4Mar 6, 2023 to Mar 6, 2024
- Corporate clients · 11 to 10Mar 6, 2023 to Mar 6, 2024
- HNW clients · 79 to 80Mar 6, 2023 to Mar 6, 2024
- Individual clients · 181 to 196Mar 6, 2023 to Mar 6, 2024
- Assets in custody · $16.5M to $19.5MMar 6, 2023 to Mar 6, 2024
- Employees · 3 to 4Mar 6, 2023 to Mar 6, 2024
- Discretionary RAUM · $363M to $437MMar 6, 2023 to Mar 6, 2024
- HNW RAUM · $215M to $228MMar 6, 2023 to Mar 6, 2024
- Individual RAUM · $117M to $172MMar 6, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $276,011 to $245,365Mar 6, 2023 to Mar 6, 2024
- Pension RAUM · $6.0M to $6.8MMar 6, 2023 to Mar 6, 2024
- RAUM · $363M to $437MMar 6, 2023 to Mar 6, 2024
Signals
2 dated events
- K•••••••• G••••• • C•• reported RAUM $825.5M, up 57% from $524.7M (2025-03-10 to 2026-02-26)Feb 26, 2026 · RAUM change · derived
- Richard Thomas Kershner (President) no longer on Schedule A of K•••••••• G••••• • C•• (listed 2021-02-02, absent 2021-08-13)Aug 13, 2021 · Control person left · inference
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
- 518-584-2600reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- K•••••••G•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 518-584-2600reportedpublic record, Form ADV, Feb 26, 2026
- Contact form
- k•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- k•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $825Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026