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•••••••• I••

Former SEC-registered adviserRadnor, PennsylvaniaCRD 111131SEC 801-55850IAPD
Latest filing Feb 14, 2018
First filing on the tape Apr 4, 2012 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$230M as of Mar 11, 2016
Apr 4, 2012$141M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 14, 2018
Apr 4, 20120 then
Employees (5.A)0 as of Feb 14, 2018
Jan 10, 20132 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 14, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
Financial planning clients
n/areported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••• H•••••• A••••• · President And Chief Compliance Officercontrol
      since 01/2013 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Other offices · unset to 1.0
      Mar 7, 2017 to Feb 14, 2018
    • Accounts · 0.0 to unset
      Dec 23, 2016 to Mar 7, 2017
    • Advisory employees · 2 to 0
      Dec 23, 2016 to Mar 7, 2017
    • Advisory activities · 4 to 1
      Dec 23, 2016 to Mar 7, 2017
    • Employees · 4 to 0
      Dec 23, 2016 to Mar 7, 2017
    • Financial planning clients · 51-100 to unset
      Dec 23, 2016 to Mar 7, 2017
    • State-registered IARs · 2 to 0
      Dec 23, 2016 to Mar 7, 2017
    • Discretionary RAUM · 0.0 to unset
      Dec 23, 2016 to Mar 7, 2017
    • Non-discretionary RAUM · 0.0 to unset
      Dec 23, 2016 to Mar 7, 2017
    • RAUM · 0.0 to unset
      Dec 23, 2016 to Mar 7, 2017
    • Accounts · 248 to 0
      Jun 16, 2016 to Dec 23, 2016
    • Discretionary RAUM · $175M to $0
      Jun 16, 2016 to Dec 23, 2016
    • Non-discretionary RAUM · $55.3M to $0
      Jun 16, 2016 to Dec 23, 2016
    • RAUM · $230M to $0
      Jun 16, 2016 to Dec 23, 2016
    • Related adviser · false to true
      Jun 16, 2016 to Dec 23, 2016
    • Employees · 2 to 4
      Mar 11, 2016 to Jun 16, 2016
    • Accounts · 142 to 248
      Feb 24, 2015 to Mar 11, 2016
    • Financial planning clients · 101-250 to 51-100
      Feb 24, 2015 to Mar 11, 2016
    • Discretionary RAUM · $211M to $175M
      Feb 24, 2015 to Mar 11, 2016
    • Non-discretionary RAUM · $23.0M to $55.3M
      Feb 24, 2015 to Mar 11, 2016
    • RAUM · $234M to $230M
      Feb 24, 2015 to Mar 11, 2016
    • Accounts · 234 to 142
      Dec 11, 2014 to Feb 2, 2015
    • Discretionary RAUM · $172M to $211M
      Dec 11, 2014 to Feb 2, 2015
    • Non-discretionary RAUM · $0 to $23.0M
      Dec 11, 2014 to Feb 2, 2015
    • RAUM · $172M to $234M
      Dec 11, 2014 to Feb 2, 2015
    • Discretionary RAUM · $160M to $172M
      Jan 10, 2013 to Mar 7, 2014
    • RAUM · $160M to $172M
      Jan 10, 2013 to Mar 7, 2014
    • Accounts · 227 to 234
      Jan 9, 2013 to Jan 10, 2013
    • Discretionary RAUM · $141M to $160M
      Jan 9, 2013 to Jan 10, 2013
    • RAUM · $141M to $160M
      Jan 9, 2013 to Jan 10, 2013
    • Advisory employees · unset to 2.0
      Apr 4, 2012 to Jan 9, 2013
    • Employees · unset to 2.0
      Apr 4, 2012 to Jan 9, 2013
    • State-registered IARs · 0 to 2
      Apr 4, 2012 to Jan 9, 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