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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Former SEC-registered adviser
K••• F•••••••• A••••••• C•••
Latest filing Dec 2, 2020
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$662M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$658M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$662M as of Mar 6, 2020
Mar 30, 2012$176M then
HNW client RAUM$468M as of Mar 6, 2020
Mar 19, 2018$297M then
State-registered IARs (5.B.3)7 as of Mar 6, 2020
Mar 28, 20133 then
Employees (5.A)16 as of Mar 6, 2020
Mar 28, 20137 then
Private funds: no history
RAUM +34% over the last fiscal year+17% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Dec 2, 2020; every figure names its basis
- RAUM per advisor
- $94.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $329,639derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $121M, 208 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$468M71%
- Individuals$190M29%
- Charitable organizations$2.4M0.4%
- Pension and profit-sharing plans$1.9M0.3%
- Corporations and businesses$238,2520.0%
- Individual clients
- 383reported
- HNW clients
- 249reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,009reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $121M for 208 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- N••••••• A••••• C•••••• to M••••• G••••• A••••••• I•••Jan 4, 2021 · RIA to RIA
- R•••••• B•••••• M•••• to M••••• G••••• A••••••• I•••Jan 4, 2021 · RIA to RIA
- A••• M• L•• to M••••• G••••• A••••••• I•••Jan 4, 2021 · RIA to RIA
- W•••••• M••• H••••• to M••••• G••••• A••••••• I•••Jan 4, 2021 · RIA to RIA
- W•••••• A••• M••••••• to M••••• G••••• A••••••• I•••Jan 4, 2021 · RIA to RIA
- B•••• A••••• S••••• to M••••• G••••• A••••••• I•••Jan 4, 2021 · RIA to RIA
- A••••• D•••• M•••••• to M••••• G••••• A••••••• I•••Jan 4, 2021 · RIA to RIA
- M••••••• M•••• W•••• to H•••••• B•••Aug 2, 2018 · RIA to RIA
Joined, latest
- R•••••• B•••••• M•••• from F••••••• P••••••• A•• W•••••••• A•••••••Jan 24, 2019 · Affiliated broker-dealer or bank to independent RIA
- A••••• D•••• M•••••• from S•••••••• A••••••• L••Apr 18, 2017 · Other
- B•••• A••••• S••••• from C••••••• W••••• A•••••••• L••May 30, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for M••••• G••••• A••••••• I•••Jan 4, 2021 · Atlanta, Ga · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• S••••• A•••••• · Managing Principal/Treasurercontrolsince 03/1985 · owns less than 5%
- M•••••••• W••••••• A••• · Principal/Senior Financial Advisorsince 01/2001 · owns less than 5%
- S•••••••• H••••• C•••••• · Principal/Operations Manager/ Chief Compliance Officersince 02/2018 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,839 to 2,009Mar 11, 2019 to Mar 6, 2020
- HNW clients · 159 to 249Mar 11, 2019 to Mar 6, 2020
- Individual clients · 433 to 383Mar 11, 2019 to Mar 6, 2020
- Assets in custody · $96.0M to $121MMar 11, 2019 to Mar 6, 2020
- Employees · 13 to 16Mar 11, 2019 to Mar 6, 2020
- Financial planning clients · 251-500 to More than 500Mar 11, 2019 to Mar 6, 2020
- Discretionary RAUM · $495M to $662MMar 11, 2019 to Mar 6, 2020
- HNW RAUM · $283M to $468MMar 11, 2019 to Mar 6, 2020
- Individual RAUM · $208M to $190MMar 11, 2019 to Mar 6, 2020
- Pension RAUM · $1.4M to $1.9MMar 11, 2019 to Mar 6, 2020
- RAUM · $495M to $662MMar 11, 2019 to Mar 6, 2020
- Accounts · 1,697 to 1,839Oct 24, 2018 to Mar 11, 2019
- Charity clients · 5.0 to unsetOct 24, 2018 to Mar 11, 2019
- HNW clients · 161 to 159Oct 24, 2018 to Mar 11, 2019
- Individual clients · 399 to 433Oct 24, 2018 to Mar 11, 2019
- Assets in custody · $102M to $96.0MOct 24, 2018 to Mar 11, 2019
- Discretionary RAUM · $495M to $495MOct 24, 2018 to Mar 11, 2019
- HNW RAUM · $297M to $283MOct 24, 2018 to Mar 11, 2019
- Individual RAUM · $194M to $208MOct 24, 2018 to Mar 11, 2019
- Pension RAUM · $1.4M to $1.4MOct 24, 2018 to Mar 11, 2019
- RAUM · $495M to $495MOct 24, 2018 to Mar 11, 2019
- Accounts · 1,763 to 1,697Mar 8, 2017 to Mar 19, 2018
- Advisory employees · 5 to 7Mar 8, 2017 to Mar 19, 2018
- Advisory activities · 5 to 4Mar 8, 2017 to Mar 19, 2018
- Charity clients · unset to 5.0Mar 8, 2017 to Mar 19, 2018
- HNW clients · unset to 161.0Mar 8, 2017 to Mar 19, 2018
- Individual clients · unset to 399.0Mar 8, 2017 to Mar 19, 2018
- Assets in custody · unset to 101767965.0Mar 8, 2017 to Mar 19, 2018
- Custody of client assets · false to trueMar 8, 2017 to Mar 19, 2018
- Employees · 10 to 13Mar 8, 2017 to Mar 19, 2018
- State-registered IARs · 5 to 7Mar 8, 2017 to Mar 19, 2018
- Other offices · unset to 0.0Mar 8, 2017 to Mar 19, 2018
- Discretionary RAUM · $379M to $495MMar 8, 2017 to Mar 19, 2018
- HNW RAUM · unset to 296955953.0Mar 8, 2017 to Mar 19, 2018
- Individual RAUM · unset to 193777867.0Mar 8, 2017 to Mar 19, 2018
- Non-discretionary RAUM · $33.9M to $0Mar 8, 2017 to Mar 19, 2018
- Pension RAUM · unset to 1371698.0Mar 8, 2017 to Mar 19, 2018
- RAUM · $413M to $495MMar 8, 2017 to Mar 19, 2018
- Accounts · 1,581 to 1,763Sep 23, 2016 to Mar 8, 2017
- Advisory employees · 4 to 5Sep 23, 2016 to Mar 8, 2017
Signals
1 dated events
- K••• F•••••••• A••••••• C••• reported RAUM $662.2M, up 34% from $495.1M (2019-03-11 to 2020-03-06)Mar 6, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026