DFX Intelligence
RIA Intelligence
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SEC-registered adviser
K•••••• F••••• • C•
Legal name K•••••• F••••• • C••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 19, 2012 · 29 filings
SEC status approved since Feb 26, 1999
RAUM
$207M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$207M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$207M as of Mar 24, 2026
Mar 19, 2012$95.7M then
HNW client RAUM$127M as of Mar 24, 2026
Feb 28, 2018$62.8M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 19, 20120 then
Employees (5.A)3 as of Mar 24, 2026
Mar 12, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 123derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $281,351derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$127M62%
- Individuals$79.3M38%
- Individual clients
- 187reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 734reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• G•••• Z••••••••Certified Financial Planner | Atlanta, Ga | Dec 2, 1996 | 25 y | 0 |
| K•••••• F••• D•••••Certified Financial Planner | Arden, Nc | Feb 4, 2008 | 26 y | 0 |
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
- D•••• S• H••••• to H••••••• W••••• M•••••••••Jan 18, 2007 · Other
- G••• J••• M••••• to H••••••• W••••• M•••••••••Mar 26, 2004 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• K••••••• F••• · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- F•••••• K••••••• B•••• · Presidentcontrolsince 01/1987 · owns less than 5%
- Z••••••••• R•••••• G•••• · Vice Presidentcontrolsince 01/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA1 employees
- Palm Beach Gardens, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 711 to 734Oct 24, 2025 to Mar 24, 2026
- HNW clients · 50 to 58Oct 24, 2025 to Mar 24, 2026
- Individual clients · 193 to 187Oct 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $185M to $207MOct 24, 2025 to Mar 24, 2026
- HNW RAUM · $107M to $127MOct 24, 2025 to Mar 24, 2026
- Individual RAUM · $77.5M to $79.3MOct 24, 2025 to Mar 24, 2026
- RAUM · $185M to $207MOct 24, 2025 to Mar 24, 2026
- Accounts · 695 to 711Feb 20, 2024 to Feb 18, 2025
- HNW clients · 44 to 50Feb 20, 2024 to Feb 18, 2025
- Individual clients · 203 to 193Feb 20, 2024 to Feb 18, 2025
- Financial planning clients · 11-25 to 11-25Feb 20, 2024 to Feb 18, 2025
- Discretionary RAUM · $177M to $185MFeb 20, 2024 to Feb 18, 2025
- HNW RAUM · $103M to $107MFeb 20, 2024 to Feb 18, 2025
- Individual RAUM · $73.6M to $77.5MFeb 20, 2024 to Feb 18, 2025
- RAUM · $177M to $185MFeb 20, 2024 to Feb 18, 2025
- Accounts · 669 to 695Mar 31, 2023 to Feb 20, 2024
- HNW clients · 203 to 44Mar 31, 2023 to Feb 20, 2024
- Individual clients · 44 to 203Mar 31, 2023 to Feb 20, 2024
- Discretionary RAUM · $153M to $177MMar 31, 2023 to Feb 20, 2024
- HNW RAUM · $73.9M to $103MMar 31, 2023 to Feb 20, 2024
- Individual RAUM · $79.3M to $73.6MMar 31, 2023 to Feb 20, 2024
- RAUM · $153M to $177MMar 31, 2023 to Feb 20, 2024
- Accounts · 244 to 669May 11, 2022 to Mar 31, 2023
- HNW clients · 58 to 203May 11, 2022 to Mar 31, 2023
- Individual clients · 186 to 44May 11, 2022 to Mar 31, 2023
- Employees · 4 to 3May 11, 2022 to Mar 31, 2023
- Financial planning clients · 26-50 to 11-25May 11, 2022 to Mar 31, 2023
- Discretionary RAUM · $174M to $153MMay 11, 2022 to Mar 31, 2023
- HNW RAUM · $104M to $73.9MMay 11, 2022 to Mar 31, 2023
- Individual RAUM · $69.9M to $79.3MMay 11, 2022 to Mar 31, 2023
- RAUM · $174M to $153MMay 11, 2022 to Mar 31, 2023
- Accounts · 236 to 244Sep 17, 2021 to Mar 3, 2022
- HNW clients · 46 to 58Sep 17, 2021 to Mar 3, 2022
- Individual clients · 190 to 186Sep 17, 2021 to Mar 3, 2022
- Discretionary RAUM · $155M to $174MSep 17, 2021 to Mar 3, 2022
- HNW RAUM · $87.0M to $104MSep 17, 2021 to Mar 3, 2022
- Individual RAUM · $68.2M to $69.9MSep 17, 2021 to Mar 3, 2022
- RAUM · $155M to $174MSep 17, 2021 to Mar 3, 2022
- Accounts · 655 to 236Jun 24, 2020 to Mar 3, 2021
- HNW clients · 42 to 46Jun 24, 2020 to Mar 3, 2021
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
- k••••••••@f•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- g••••@f•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-940-9494reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 828-654-9343reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 770-980-2506reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- F•••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 828-654-9343reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- f•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- f•••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026