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••••••• • A••••••••• L•• I•
Latest filing Apr 10, 2026
First filing on the tape Jan 24, 2012 · 4 filings
SEC status approved since Apr 8, 2026
RAUM
$118M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
94%
$110M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.8M
derived; firm RAUM over IAPD count
Employees
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$118M as of Apr 10, 2026
Jan 24, 2012$44.4M then
HNW client RAUM: $25.4M
State-registered IARs (5.B.3)2 as of Apr 10, 2026
Jan 24, 20120 then
Employees (5.A): 7
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $58.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $296,874derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 5.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$84.9M72%
- High-net-worth individuals$25.4M22%
- Pension and profit-sharing plans$6.8M5.8%
- Corporations and businesses$462,6060.4%
- Individual clients
- 113reported
- HNW clients
- 5reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 396reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••• S•••• K••••••• | Barrington, Il | Dec 17, 1997 | 32 y | 0 |
| K••• K••••••• | Barrington, Il | Jun 28, 2019 | 11 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
- K••• K••••••• from C••••• I••••••••• A••••••• L••Jun 28, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• B•••• S•••• · President & Chief Compliance Officercontrolsince 11/2007 · owns 75% or more
- K•••••••• L••••• P••• · Secretarycontrolsince 04/1991 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Barrington, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 10, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- compensation changedChange between filings · filing Apr 10, 2026commissions (Item 5.E.5): no on the filing of 2012-02-08, yes on the filing of 2026-04-10peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Apr 10, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2012-02-08, yes on the filing of 2026-04-10peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 277 to 396Feb 8, 2012 to Apr 10, 2026
- Advisory employees · unset to 2.0Feb 8, 2012 to Apr 10, 2026
- Advisory activities · 3 to 4Feb 8, 2012 to Apr 10, 2026
- BD registered reps · unset to 2.0Feb 8, 2012 to Apr 10, 2026
- Charity clients · unset to 0.0Feb 8, 2012 to Apr 10, 2026
- Corporate clients · unset to 5.0Feb 8, 2012 to Apr 10, 2026
- HNW clients · unset to 5.0Feb 8, 2012 to Apr 10, 2026
- Individual clients · unset to 113.0Feb 8, 2012 to Apr 10, 2026
- Pension plan clients · unset to 8.0Feb 8, 2012 to Apr 10, 2026
- Pooled vehicle clients · unset to 0.0Feb 8, 2012 to Apr 10, 2026
- Commission compensation · false to trueFeb 8, 2012 to Apr 10, 2026
- Employees · unset to 7.0Feb 8, 2012 to Apr 10, 2026
- Financial planning clients · 101-250 to 101-250Feb 8, 2012 to Apr 10, 2026
- State-registered IARs · 0 to 2Feb 8, 2012 to Apr 10, 2026
- Other offices · unset to 0.0Feb 8, 2012 to Apr 10, 2026
- HNW RAUM · unset to 25384098.0Feb 8, 2012 to Apr 10, 2026
- Individual RAUM · unset to 84876887.0Feb 8, 2012 to Apr 10, 2026
- Non-discretionary RAUM · $44.4M to $118MFeb 8, 2012 to Apr 10, 2026
- Pension RAUM · unset to 6838589.0Feb 8, 2012 to Apr 10, 2026
- RAUM · $44.4M to $118MFeb 8, 2012 to Apr 10, 2026
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
- 847-381-1053reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 847-381-1491reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- K•••••••INVEST.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 847-381-1053reportedpublic record, Form ADV, Apr 10, 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
- $58.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026