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•••• W••••• A••••••• G••••• I•••
Latest filing Oct 30, 2024
First filing on the tape Apr 2, 2012 · 17 filings
SEC status approved since Apr 20, 1998
RAUM
$515M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$501M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$525M as of Apr 1, 2024
Apr 2, 2012$233M then
HNW client RAUM$350M as of Apr 1, 2024
Apr 2, 2018$100M then
State-registered IARs (5.B.3)1 as of Apr 1, 2024
Apr 1, 20133 then
Employees (5.A)6 as of Apr 1, 2024
Apr 1, 20134 then
Private funds: no history
RAUM +24% over the last fiscal year+5.0% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Oct 30, 2024; every figure names its basis
- RAUM per advisor
- $258MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 345derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $715,278derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, publications, otherreportedItem 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
- High-net-worth individuals$340M66%
- Individuals$161M31%
- Pension and profit-sharing plans$14.0M2.7%
- Individual clients
- 550reported
- HNW clients
- 140reported
- Pension plan clients
- 10reported
- Charitable clients
- 0reported
- Accounts
- 720reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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••••• K•••• K•••• to M••••• G••••• A••••••• I•••Mar 24, 2025 · RIA to RIA
- S•••• D•••••• B•••• to M••••• G••••• A••••••• I•••Mar 24, 2025 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••• G••••• A••••••• I•••Mar 24, 2025 · Kernersville, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• J•••••• K•••• · President/Directorcontrolsince 01/1997 · owns less than 5%
- B••••• S••••• D•••••• · Chief Investment Analystsince 06/2004 · owns less than 5%
- M•••••• K••••••• K•• · Chief Compliance Officersince 11/2003 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · 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 |
|---|---|---|---|---|---|
| Asheville, Nc | 0 | 0 | 0 | ||
| Kernersville, Nc | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenville, NC2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 750 to 720Apr 1, 2024 to Sep 19, 2024
- Individual clients · 600 to 550Apr 1, 2024 to Sep 19, 2024
- Employees · 6 to 5Apr 1, 2024 to Sep 19, 2024
- State-registered IARs · 1 to 2Apr 1, 2024 to Sep 19, 2024
- Discretionary RAUM · $525M to $515MApr 1, 2024 to Sep 19, 2024
- HNW RAUM · $350M to $340MApr 1, 2024 to Sep 19, 2024
- RAUM · $525M to $515MApr 1, 2024 to Sep 19, 2024
- Accounts · 760 to 750May 1, 2023 to Apr 1, 2024
- HNW clients · 85 to 140May 1, 2023 to Apr 1, 2024
- Individual clients · 670 to 600May 1, 2023 to Apr 1, 2024
- Pension plan clients · 8 to 10May 1, 2023 to Apr 1, 2024
- Employees · 4 to 6May 1, 2023 to Apr 1, 2024
- State-registered IARs · 3 to 1May 1, 2023 to Apr 1, 2024
- Discretionary RAUM · $416M to $525MMay 1, 2023 to Apr 1, 2024
- HNW RAUM · $238M to $350MMay 1, 2023 to Apr 1, 2024
- Individual RAUM · $164M to $161MMay 1, 2023 to Apr 1, 2024
- RAUM · $416M to $525MMay 1, 2023 to Apr 1, 2024
- Accounts · 772 to 760Mar 30, 2022 to May 1, 2023
- HNW clients · 87 to 85Mar 30, 2022 to May 1, 2023
- Individual clients · 677 to 670Mar 30, 2022 to May 1, 2023
- Employees · 5 to 4Mar 30, 2022 to May 1, 2023
- Discretionary RAUM · $468M to $416MMar 30, 2022 to May 1, 2023
- HNW RAUM · $250M to $238MMar 30, 2022 to May 1, 2023
- Individual RAUM · $198M to $164MMar 30, 2022 to May 1, 2023
- Pension RAUM · $20.0M to $14.0MMar 30, 2022 to May 1, 2023
- RAUM · $468M to $416MMar 30, 2022 to May 1, 2023
- Accounts · 750 to 772Mar 31, 2021 to Mar 30, 2022
- Advisory employees · 4 to 3Mar 31, 2021 to Mar 30, 2022
- HNW clients · 75 to 87Mar 31, 2021 to Mar 30, 2022
- Individual clients · 665 to 677Mar 31, 2021 to Mar 30, 2022
- Pension plan clients · 10 to 8Mar 31, 2021 to Mar 30, 2022
- Employees · 6 to 5Mar 31, 2021 to Mar 30, 2022
- State-registered IARs · 4 to 3Mar 31, 2021 to Mar 30, 2022
- Other offices · 5 to 4Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $445M to $468MMar 31, 2021 to Mar 30, 2022
- HNW RAUM · $126M to $250MMar 31, 2021 to Mar 30, 2022
- Individual RAUM · $293M to $198MMar 31, 2021 to Mar 30, 2022
- Pension RAUM · $26.0M to $20.0MMar 31, 2021 to Mar 30, 2022
- RAUM · $445M to $468MMar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $438M to $445MJun 29, 2020 to Mar 31, 2021
Signals
5 dated events
- K•••• W••••• A••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $515.0M)May 2, 2025 · Left the SEC roster · derived
- J••••• K•••• K•••• left K•••• W••••• A••••••• G••••• I••• for M••••• G••••• A••••••• I••• (registered 2024-11-06)Mar 24, 2025 · Advisor changed firm · fact
- S•••• D•••••• B•••• left K•••• W••••• A••••••• G••••• I••• for M••••• G••••• A••••••• I••• (registered 2024-11-04)Mar 24, 2025 · Advisor changed firm · fact
- 2 advisors left K•••• W••••• A••••••• G••••• I••• (Kernersville, NC) for M••••• G••••• A••••••• I••• on the same dayMar 24, 2025 · Team lift-out · derived
- K•••• W••••• A••••••• G••••• I••• reported RAUM $525.0M, up 26% from $416.0M (2023-05-01 to 2024-04-01)Apr 1, 2024 · RAUM change · derived
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