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••••• I••••••••• M•••••••••
Legal name K••••• M••••••••• I••
Latest filing Jul 7, 2026
First filing on the tape Jan 19, 2012 · 64 filings
SEC status approved since Mar 5, 1987
RAUM
$4.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$2.8B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$573M
derived; firm RAUM over IAPD count
Employees
38
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
64 filings and snapshots on the tape
RAUM$4.0B as of Jul 7, 2026
Sep 27, 2012$2.3B then
HNW client RAUM$2.4B as of Jul 7, 2026
Sep 27, 2018$2.0B then
State-registered IARs (5.B.3)6 as of Jul 7, 2026
Jul 25, 20131 then
Employees (5.A)38 as of Jul 7, 2026
Jul 25, 201334 then
Private funds: no history
RAUM +13% over the last fiscal year-0.7% a year over threeIARs 8 to 6offices 1 to 0
Practice profile
derived from the filing of Jul 7, 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
- $573MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 236derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.4B60%
- Pension and profit-sharing plans$508M13%
- Corporations and businesses$463M12%
- Individuals$418M10%
- Charitable organizations$170M4.2%
- State and municipal entities$62.7M1.6%
- Insurance companies$1.3M0.0%
- Individual clients
- 964reported
- HNW clients
- 689reported
- Pension plan clients
- 47reported
- Charitable clients
- 44reported
- Accounts
- 2,279reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $241M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A•••••• D•••••••••Certified Financial Planner | Pittsford, Ny | Apr 21, 2021 | 26 y | 0 |
| D••••• L•• L•••••••••Chartered Financial Analyst | Pittsford, Ny | Oct 26, 2021 | 14 y | 0 |
| D•••• P•••••• A••••••• | Pittsford, Ny | Jan 7, 2022 | 13 y | 0 |
| C•••••••• M••• P••••• | Pittsford, Ny | Feb 10, 2022 | 25 y | 1 |
| M•••••• C•••• F••••••• | Pittsford, Ny | May 20, 2022 | 28 y | 0 |
| C•••• J•• G•••••••Certified Financial Planner | Pittsford, Ny | Sep 14, 2022 | 13 y | 2 |
| J••• M••••• G••••••• | Pittsford, Ny | Mar 6, 2026 | 10 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
- G••••• D• M••••• to H••• F•••• A•••••••• I•••Nov 9, 2020 · RIA to RIA
Joined, latest
- C•••• J•• G••••••• from M••••• S••••••Sep 14, 2022 · Wirehouse to independent RIA
- C•••••••• M••• P••••• from C••••••••• W••••• A•••••••• L••Feb 10, 2022 · Other
- G••••• D• M••••• from M•••••• • N••••• A•••••••• L••Feb 28, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• K•••••••• F••••••• · Chief Financial Officer & Treasurer/Secretary Of The Boardcontrolsince 10/2020 · owns less than 5%
- D••••• T•••••• M•••••• · Senior Vice President & Director Of Operationscontrolsince 10/2020 · owns less than 5%
- G•••••••• T•••••• W•••• · Directorcontrolsince 10/2020 · owns less than 5%
- L••••••••• D•••••• L•• · Chief Investment Officer & Presidentcontrolsince 04/2021 · owns less than 5%
- Y••••• C•••••• M••••• · Directorcontrolsince 10/2020 · owns less than 5%
- H••••••• J•••• L•• · Chief Compliance Officersince 01/2020 · owns less than 5%
Entity owners
- C••• O• L••••• I••••••••• G•••• · Parent Companydirect · owns 75% or more
- C••• O• L••••• I••••••••• G•••• P•• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- City Of London Investment Management Company Limitedinvestment adviserpooled vehicle sponsornRAUM $6.8B
Advisers that list K••••• I••••••••• M••••••••• as a related person
- 110986 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsford, Ny · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Jul 7, 2026employees per registered advisor of 5.4 against a peer median of 1.5 (1101 comparable advisers, 99.0th percentile, 8.1 robust deviations)peers: independent wealth managers, $1B to $5B (1,101) · 99% percentile
- control person changedChange between filings · filing Jul 7, 2026GRIFFITH, THOMAS, WAYNE (DIRECTOR) left Schedule A between the filings of 2020-10-21 and 2026-07-07peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 7, 2026YUSTE, CARLOS, MANUEL (DIRECTOR) left Schedule A between the filings of 2020-10-21 and 2026-07-07peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 7, 2026DUFFY, THOMAS, MICHAEL (SENIOR VICE PRESIDENT & DIRECTOR OF OPERATIONS) left Schedule A between the filings of 2020-10-21 and 2026-07-07peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jul 7, 2026CRANE, KATHLEEN, FINNERTY (CHIEF FINANCIAL OFFICER & TREASURER/SECRETARY OF THE BOARD) left Schedule A between the filings of 2020-10-21 and 2026-07-07peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,208 to 2,279Jul 1, 2025 to Oct 20, 2025
- Advisory employees · 21 to 19Jul 1, 2025 to Oct 20, 2025
- Charity clients · 47 to 44Jul 1, 2025 to Oct 20, 2025
- Corporate clients · 67 to 76Jul 1, 2025 to Oct 20, 2025
- HNW clients · 652 to 689Jul 1, 2025 to Oct 20, 2025
- Individual clients · 935 to 964Jul 1, 2025 to Oct 20, 2025
- Pension plan clients · 54 to 47Jul 1, 2025 to Oct 20, 2025
- State-registered IARs · 7 to 6Jul 1, 2025 to Oct 20, 2025
- Discretionary RAUM · $4.0B to $4.0BJul 1, 2025 to Oct 20, 2025
- HNW RAUM · $2.3B to $2.4BJul 1, 2025 to Oct 20, 2025
- Individual RAUM · $405M to $418MJul 1, 2025 to Oct 20, 2025
- Pension RAUM · $532M to $508MJul 1, 2025 to Oct 20, 2025
- RAUM · $4.0B to $4.0BJul 1, 2025 to Oct 20, 2025
- Wrap assets (manager) · $205M to $241MJul 1, 2025 to Oct 20, 2025
- Financial planning clients · unset to Jun 11, 2025 to Jul 1, 2025
- Other offices · 1 to 0Jun 11, 2025 to Jul 1, 2025
- Accounts · 2,165 to 2,208Apr 25, 2024 to Sep 26, 2024
- Advisory employees · 18 to 21Apr 25, 2024 to Sep 26, 2024
- Charity clients · 49 to 47Apr 25, 2024 to Sep 26, 2024
- Corporate clients · 61 to 67Apr 25, 2024 to Sep 26, 2024
- HNW clients · 606 to 652Apr 25, 2024 to Sep 26, 2024
- Individual clients · 995 to 935Apr 25, 2024 to Sep 26, 2024
- Pension plan clients · 55 to 54Apr 25, 2024 to Sep 26, 2024
- Employees · 39 to 38Apr 25, 2024 to Sep 26, 2024
- State-registered IARs · 8 to 7Apr 25, 2024 to Sep 26, 2024
- Discretionary RAUM · $3.5B to $4.0BApr 25, 2024 to Sep 26, 2024
- HNW RAUM · $2.0B to $2.3BApr 25, 2024 to Sep 26, 2024
- Individual RAUM · $422M to $405MApr 25, 2024 to Sep 26, 2024
- Pension RAUM · $481M to $532MApr 25, 2024 to Sep 26, 2024
- RAUM · $3.5B to $4.0BApr 25, 2024 to Sep 26, 2024
- Wrap assets (manager) · $175M to $205MApr 25, 2024 to Sep 26, 2024
- Accounts · 2,248 to 2,165Aug 3, 2023 to Sep 27, 2023
- Advisory employees · 19 to 18Aug 3, 2023 to Sep 27, 2023
- Corporate clients · 69 to 61Aug 3, 2023 to Sep 27, 2023
- HNW clients · 605 to 606Aug 3, 2023 to Sep 27, 2023
- Individual clients · 998 to 995Aug 3, 2023 to Sep 27, 2023
- Pension plan clients · 57 to 55Aug 3, 2023 to Sep 27, 2023
- Employees · 41 to 39Aug 3, 2023 to Sep 27, 2023
- State-registered IARs · 9 to 8Aug 3, 2023 to Sep 27, 2023
- Discretionary RAUM · $3.5B to $3.5BAug 3, 2023 to Sep 27, 2023
Signals
11 dated events
- David Brett Gardner (Senior Vice President) no longer on Schedule A of Karpus Investment Management (listed 2024-03-11, absent 2024-04-25)Apr 25, 2024 · Control person left · inference
- David Brett Gardner (Senior Vice President) appeared on Schedule A of Karpus Investment ManagementSep 27, 2023 · Control person joined · fact
- Marijoyce Ryan (Senior Vice President- Client Servicing) no longer on Schedule A of Karpus Investment Management (listed 2022-11-30, absent 2023-02-06)Feb 6, 2023 · Control person left · inference
- William George Karpus (Non-Executive Director) no longer on Schedule A of Karpus Investment Management (listed 2021-07-20, absent 2021-09-28)Sep 28, 2021 · Control person left · inference
- Robert Dana Consler (Executive Vice President) no longer on Schedule A of Karpus Investment Management (listed 2021-04-05, absent 2021-07-02)Jul 2, 2021 · Control person left · inference
- Anthony David D'Ambrosio (Senior Vice President) no longer on Schedule A of Karpus Investment Management (listed 2020-10-21, absent 2021-04-05)Apr 5, 2021 · Control person left · inference
- Lind Sharon Thornton (Executive Vice President) no longer on Schedule A of Karpus Investment Management (listed 2020-10-21, absent 2021-04-05)Apr 5, 2021 · Control person left · inference
- Marijoyce Ryan (Vice President Of Fiduciary Services) appeared on Schedule A of Karpus Investment ManagementOct 21, 2020 · Control person joined · fact
- Manuel Carlos Yuste (Director) appeared on Schedule A of Karpus Investment ManagementOct 21, 2020 · Control person joined · fact
- Wayne Thomas Griffith (Director) appeared on Schedule A of Karpus Investment ManagementOct 21, 2020 · Control person joined · fact
- Anthony David D'Ambrosio (Senior Vice President) appeared on Schedule A of Karpus Investment ManagementOct 21, 2020 · Control person joined · fact
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
- chrissy@karpus.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- david@karpus.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-586-4315reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 585-586-4680reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/karpus-investment-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- KARPUS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-586-4680reportedpublic record, Form ADV, Jul 7, 2026
- Contact form
- karpus.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- karpus.com/about/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 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
- $573Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026