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.
Former SEC-registered adviser
Kaye Capital Management
Latest filing Feb 27, 2025
First filing on the tape Apr 11, 2012 · 40 filings
SEC status approved since Apr 21, 2000
RAUM
$743M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
42%
$310M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$743M as of Feb 27, 2025
Apr 11, 2012$118M then
HNW client RAUM$258M as of Feb 27, 2025
Mar 19, 2018$111M then
State-registered IARs (5.B.3)3 as of Feb 27, 2025
Feb 13, 20132 then
Employees (5.A)6 as of Feb 27, 2025
Feb 13, 20133 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 27, 2025; every figure names its basis
- RAUM per advisor
- $248MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $616,732derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 58%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$423M57%
- High-net-worth individuals$258M35%
- Individuals$52.1M7.0%
- Charitable organizations$9.3M1.3%
- Corporations and businesses$1.1M0.1%
- Individual clients
- 149reported
- HNW clients
- 157reported
- Pension plan clients
- 494reported
- Charitable clients
- 2reported
- Accounts
- 1,205reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- David William Hilton to Modern Wealth Management, LLCDec 31, 2025 · RIA to RIA
- Kenneth Jeffrey Watten to Modern Wealth Management, LLCDec 31, 2025 · RIA to RIA
- David Tassone to Avise FinancialJan 4, 2024 · RIA to RIA
- Michael Patrick Hartman to Mutual Advisors, LLCDec 31, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- Michael Patrick Hartman from Wealthsource?Jan 9, 2018 · Other
- Kenneth Jeffrey Watten from Nwf Advisory Services IncJan 13, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Modern Wealth Management, LLCDec 31, 2025 · El Segundo, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- William David Hilton · Partner, Coo, Trustee Of Hilton Family Trustcontrolsince 03/2015 · owns less than 5%
- Dillon Kent Keister · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- Jeffrey Kenneth Watten · President, Ceo, Trustee Of Watten Family Trustcontrolsince 10/2005 · owns less than 5%
- Lauren Jennifer Hilton · Trustee - Hilton Family Trustsince 06/2021 · owns less than 5%
- Carmenera Jennifer Watten · Trustee - Watten Family Trustsince 06/2021 · owns less than 5%
Entity owners
- Hilton Family Trust · Ownerdirect · owns 25% to 50%
- Watten Family Trust · Ownerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- Cogent Insurance Solutionsreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| El Segundo, Ca · principal | 0 | 0 | 1 | 1 | |
| Los Angeles, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,247 to 1,205Jan 27, 2025 to Feb 27, 2025
- Corporate clients · 4 to 3Jan 27, 2025 to Feb 27, 2025
- HNW clients · 114 to 157Jan 27, 2025 to Feb 27, 2025
- Individual clients · 188 to 149Jan 27, 2025 to Feb 27, 2025
- Pension plan clients · 480 to 494Jan 27, 2025 to Feb 27, 2025
- Financial planning clients · 11-25 to 11-25Jan 27, 2025 to Feb 27, 2025
- Discretionary RAUM · $643M to $711MJan 27, 2025 to Feb 27, 2025
- HNW RAUM · $244M to $258MJan 27, 2025 to Feb 27, 2025
- Individual RAUM · $60.6M to $52.1MJan 27, 2025 to Feb 27, 2025
- Non-discretionary RAUM · $25.5M to $32.4MJan 27, 2025 to Feb 27, 2025
- Pension RAUM · $351M to $423MJan 27, 2025 to Feb 27, 2025
- RAUM · $669M to $743MJan 27, 2025 to Feb 27, 2025
- Accounts · 817 to 1,247Dec 15, 2023 to Mar 22, 2024
- Advisory employees · 4 to 3Dec 15, 2023 to Mar 22, 2024
- Charity clients · unset to 2.0Dec 15, 2023 to Mar 22, 2024
- Corporate clients · unset to 4.0Dec 15, 2023 to Mar 22, 2024
- HNW clients · 104 to 114Dec 15, 2023 to Mar 22, 2024
- Individual clients · 220 to 188Dec 15, 2023 to Mar 22, 2024
- Pension plan clients · 33 to 480Dec 15, 2023 to Mar 22, 2024
- Financial planning clients · 26-50 to 11-25Dec 15, 2023 to Mar 22, 2024
- State-registered IARs · 4 to 3Dec 15, 2023 to Mar 22, 2024
- Discretionary RAUM · $414M to $643MDec 15, 2023 to Mar 22, 2024
- HNW RAUM · $221M to $244MDec 15, 2023 to Mar 22, 2024
- Individual RAUM · $66.7M to $60.6MDec 15, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $74.7M to $25.5MDec 15, 2023 to Mar 22, 2024
- Pension RAUM · $197M to $351MDec 15, 2023 to Mar 22, 2024
- RAUM · $488M to $669MDec 15, 2023 to Mar 22, 2024
- Advisory employees · 5 to 4Mar 22, 2023 to Jun 26, 2023
- Employees · 7 to 6Mar 22, 2023 to Jun 26, 2023
- State-registered IARs · 5 to 4Mar 22, 2023 to Jun 26, 2023
- Accounts · 739 to 817Nov 28, 2022 to Feb 8, 2023
- HNW clients · 97 to 104Nov 28, 2022 to Feb 8, 2023
- Individual clients · 202 to 220Nov 28, 2022 to Feb 8, 2023
- Pension plan clients · 17 to 33Nov 28, 2022 to Feb 8, 2023
- Financial planning clients · 11-25 to 26-50Nov 28, 2022 to Feb 8, 2023
- Discretionary RAUM · $516M to $414MNov 28, 2022 to Feb 8, 2023
- HNW RAUM · $259M to $221MNov 28, 2022 to Feb 8, 2023
- Individual RAUM · $69.9M to $66.7MNov 28, 2022 to Feb 8, 2023
- Non-discretionary RAUM · $22.7M to $74.7MNov 28, 2022 to Feb 8, 2023
- Pension RAUM · $206M to $197MNov 28, 2022 to Feb 8, 2023
Signals
12 dated events
- Kaye Capital Management no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $743.2M)Jan 2, 2026 · Left the SEC roster · derived
- 2 advisors left Kaye Capital Management (EL Segundo, CA) for Modern Wealth Management, LLC on the same dayDec 31, 2025 · Team lift-out · derived
- Kenneth Jeffrey Watten left Kaye Capital Management for Modern Wealth Management, Llc (registered 2025-06-30)Dec 31, 2025 · Advisor changed firm · fact
- David William Hilton left Kaye Capital Management for Modern Wealth Management, Llc (registered 2025-06-30)Dec 31, 2025 · Advisor changed firm · fact
- Kaye Capital Management reported RAUM $668.7M, up 37% from $488.5M (2023-12-15 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- David Tassone left Kaye Capital Management for Avise Financial (registered 2024-01-02)Jan 4, 2024 · Advisor changed firm · fact
- Dillon Kent Keister (Chief Compliance Officer) appeared on Schedule A of Kaye Capital ManagementNov 29, 2023 · Control person joined · fact
- Kaye Capital Management reported RAUM $538.6M, up 52% from $354.9M (2021-09-20 to 2022-03-07)Mar 7, 2022 · RAUM change · derived
- Lauren Jennifer Hilton (Trustee) appeared on Schedule A of Kaye Capital ManagementJun 23, 2021 · Control person joined · fact
- Carmenera Jennifer Watten (Trustee) appeared on Schedule A of Kaye Capital ManagementJun 23, 2021 · Control person joined · fact
- Kaye Capital Management reported RAUM $354.9M, up 49% from $238.3M (2020-06-29 to 2021-02-24)Feb 24, 2021 · RAUM change · derived
- Marv Kaye (President) no longer on Schedule A of Kaye Capital Management (listed 2019-06-12, absent 2019-10-08)Oct 8, 2019 · 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.
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