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•••••••• C••••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Mar 28, 2012 · 29 filings
SEC status approved since Nov 29, 1999
RAUM
$575M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$569M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$287M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$575M as of Mar 12, 2026
Mar 28, 2012$181M then
HNW client RAUM$553M as of Mar 12, 2026
Mar 16, 2018$249M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Mar 28, 20120 then
Employees (5.A)3 as of Mar 12, 2026
Mar 15, 20134 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 4, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $287MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $570M, 186 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)
- 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$553M96%
- Individuals$16.1M2.8%
- Pension and profit-sharing plans$6.1M1.1%
- Individual clients
- 32reported
- HNW clients
- 152reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 547reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $570M for 186 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• S••••• K•••••Certified Financial Planner | Columbus, Oh | Jan 1, 2001 | 41 y | 0 |
| E••• S••••• E•••••Certified Financial Planner, Chartered Financial Analyst | Columbus, Oh | Feb 28, 2014 | 19 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•••••• R•••••• S••••• · President And Chief Compliance Officercontrolsince 07/1999 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Mar 12, 2026 to Sep 4, 2026
- Related adviser · false to unsetMar 12, 2026 to Sep 4, 2026
- Related bank · false to unsetMar 12, 2026 to Sep 4, 2026
- Related broker-dealer · false to unsetMar 12, 2026 to Sep 4, 2026
- Related insurance company · false to unsetMar 12, 2026 to Sep 4, 2026
- Succession · false to unsetMar 12, 2026 to Sep 4, 2026
- Accounts · 522 to 547Jan 5, 2026 to Mar 12, 2026
- HNW clients · 131 to 152Jan 5, 2026 to Mar 12, 2026
- Individual clients · 45 to 32Jan 5, 2026 to Mar 12, 2026
- Commission compensation · false to trueJan 5, 2026 to Mar 12, 2026
- Assets in custody · $492M to $570MJan 5, 2026 to Mar 12, 2026
- Discretionary RAUM · $468M to $544MJan 5, 2026 to Mar 12, 2026
- HNW RAUM · $464M to $553MJan 5, 2026 to Mar 12, 2026
- Individual RAUM · $26.4M to $16.1MJan 5, 2026 to Mar 12, 2026
- Non-discretionary RAUM · $27.8M to $31.2MJan 5, 2026 to Mar 12, 2026
- Pension RAUM · $5.8M to $6.1MJan 5, 2026 to Mar 12, 2026
- RAUM · $496M to $575MJan 5, 2026 to Mar 12, 2026
- Accounts · 524 to 522Mar 20, 2024 to Feb 21, 2025
- HNW clients · 118 to 131Mar 20, 2024 to Feb 21, 2025
- Individual clients · 58 to 45Mar 20, 2024 to Feb 21, 2025
- Commission compensation · true to falseMar 20, 2024 to Feb 21, 2025
- Assets in custody · $438M to $492MMar 20, 2024 to Feb 21, 2025
- Financial planning clients · 1-10 to 1-10Mar 20, 2024 to Feb 21, 2025
- Discretionary RAUM · $384M to $468MMar 20, 2024 to Feb 21, 2025
- HNW RAUM · $403M to $464MMar 20, 2024 to Feb 21, 2025
- Individual RAUM · $34.1M to $26.4MMar 20, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $57.9M to $27.8MMar 20, 2024 to Feb 21, 2025
- Pension RAUM · $5.4M to $5.8MMar 20, 2024 to Feb 21, 2025
- RAUM · $442M to $496MMar 20, 2024 to Feb 21, 2025
- Accounts · 530 to 524Aug 2, 2023 to Mar 20, 2024
- HNW clients · 133 to 118Aug 2, 2023 to Mar 20, 2024
- Individual clients · 43 to 58Aug 2, 2023 to Mar 20, 2024
- Assets in custody · $382M to $438MAug 2, 2023 to Mar 20, 2024
- Discretionary RAUM · $328M to $384MAug 2, 2023 to Mar 20, 2024
- HNW RAUM · $361M to $403MAug 2, 2023 to Mar 20, 2024
- Individual RAUM · $19.6M to $34.1MAug 2, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $56.9M to $57.9MAug 2, 2023 to Mar 20, 2024
- Pension RAUM · $4.6M to $5.4MAug 2, 2023 to Mar 20, 2024
- RAUM · $385M to $442MAug 2, 2023 to Mar 20, 2024
- Commission compensation · false to trueApr 17, 2023 to Apr 17, 2023
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 email
- a••••@k•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-469-4723reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-469-5003reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- k•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 614-469-5003reportedpublic record, Form ADV, Sep 4, 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
- $287Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026