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•••••••• G••••• I•••
Latest filing Apr 3, 2017
First filing on the tape Mar 20, 2012 · 6 filings
RAUM
$124M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$124M as of Apr 3, 2017
Mar 20, 2012$108M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 3, 2017
Mar 20, 20120 then
Employees (5.A)4 as of Apr 3, 2017
Mar 20, 20137 then
Private funds: no history
RAUM +0.4% over the last fiscal year-0.0% a year over threeIARs 5 to 1
Practice profile
derived from the filing of Apr 3, 2017; every figure names its basis
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $116,979derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -80%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,059reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
- J•••• E••••• E••••• to H••••••••• C•••••• A•••••••• L••Aug 25, 2017 · Other
- R••••• R•• C••••• to M••••• A•••••••• L••Nov 3, 2011 · Other
- B•••• J•••• H••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 11, 2008 · Other
Joined, latest
- R••••• R•• C••••• from A••••••••• P••••••• I••••••••• A••••••• I••Sep 6, 2007 · Other
- B•••• J•••• H••••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 13, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• L•••• A•••••• · Vice Presidentcontrolsince 08/2011 · owns less than 5%
- K•••• S••••••• J••••• · Ceo/Cfo/Pres/Chief Compliance Officercontrolsince 01/1999 · owns less than 5%
- P••••••••• J••••• A•• · Secty/Cao/Evpcontrolsince 01/1999 · owns less than 5%
- K•••• S••••••• J••••• · Owner/Trusteecontrolsince 01/2001 · owns 75% or more of S•••••• A•• L••• K••• F••••• T•••• D•• 1••••••
- K•••• L•••• A•••••• · Owner/Trusteesince 01/2001 · owns 75% or more of S•••••• A•• L••• K••• F••••• T•••• D•• 1••••••
Entity owners
- S•••••• A•• L••• K••• F••••• T•••• D•• 1•••••• · 100% Shareholderdirect · 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 · 1,104 to 1,059Mar 15, 2016 to Apr 3, 2017
- Advisory employees · 5 to 4Mar 15, 2016 to Apr 3, 2017
- BD registered reps · 5 to 2Mar 15, 2016 to Apr 3, 2017
- Employees · 7 to 4Mar 15, 2016 to Apr 3, 2017
- State-registered IARs · 5 to 1Mar 15, 2016 to Apr 3, 2017
- Non-discretionary RAUM · $123M to $124MMar 15, 2016 to Apr 3, 2017
- RAUM · $123M to $124MMar 15, 2016 to Apr 3, 2017
- Accounts · 1,122 to 1,104Mar 18, 2015 to Mar 15, 2016
- Advisory employees · 6 to 5Mar 18, 2015 to Mar 15, 2016
- BD registered reps · 4 to 5Mar 18, 2015 to Mar 15, 2016
- Employees · 6 to 7Mar 18, 2015 to Mar 15, 2016
- State-registered IARs · 4 to 5Mar 18, 2015 to Mar 15, 2016
- Non-discretionary RAUM · $129M to $123MMar 18, 2015 to Mar 15, 2016
- RAUM · $129M to $123MMar 18, 2015 to Mar 15, 2016
- Accounts · 1,169 to 1,122Mar 20, 2014 to Mar 18, 2015
- BD registered reps · 5 to 4Mar 20, 2014 to Mar 18, 2015
- Financial planning clients · 101-250 to 251-500Mar 20, 2014 to Mar 18, 2015
- State-registered IARs · 5 to 4Mar 20, 2014 to Mar 18, 2015
- Non-discretionary RAUM · $124M to $129MMar 20, 2014 to Mar 18, 2015
- RAUM · $124M to $129MMar 20, 2014 to Mar 18, 2015
- Accounts · 1,104 to 1,169Mar 20, 2013 to Mar 20, 2014
- Advisory employees · 7 to 6Mar 20, 2013 to Mar 20, 2014
- BD registered reps · 7 to 5Mar 20, 2013 to Mar 20, 2014
- Employees · 7 to 6Mar 20, 2013 to Mar 20, 2014
- State-registered IARs · 7 to 5Mar 20, 2013 to Mar 20, 2014
- Non-discretionary RAUM · $107M to $124MMar 20, 2013 to Mar 20, 2014
- RAUM · $107M to $124MMar 20, 2013 to Mar 20, 2014
- Accounts · 1,307 to 1,104Mar 20, 2012 to Mar 20, 2013
- Advisory employees · unset to 7.0Mar 20, 2012 to Mar 20, 2013
- BD registered reps · unset to 7.0Mar 20, 2012 to Mar 20, 2013
- Employees · unset to 7.0Mar 20, 2012 to Mar 20, 2013
- State-registered IARs · 0 to 7Mar 20, 2012 to Mar 20, 2013
- Non-discretionary RAUM · $108M to $107MMar 20, 2012 to Mar 20, 2013
- RAUM · $108M to $107MMar 20, 2012 to Mar 20, 2013
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.
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