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• R• F•••••••• L••
Latest filing Apr 24, 2026
First filing on the tape Mar 12, 2012 · 24 filings
SEC status approved since Oct 19, 1998
RAUM
$90.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$70.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$90.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$90.7M as of Apr 24, 2026
Mar 12, 2012$105M then
HNW client RAUM$70.2M as of Apr 24, 2026
Mar 6, 2018$74.4M then
State-registered IARs (5.B.3)2 as of Apr 24, 2026
Mar 12, 20120 then
Employees (5.A)2 as of Apr 24, 2026
Feb 6, 20132 then
Private funds: no history
RAUM -13% over the last fiscal year+0.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -22%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)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$70.2M77%
- Corporations and businesses$16.5M18%
- Pension and profit-sharing plans$4.0M4.4%
- Individual clients
- 0reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 53reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• A••• G•••••• | Princeton, Nj | Feb 9, 2021 | 19 y | 4 |
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
none on the tape
Joined, latest
- W••••• A••• G•••••• from R•••• C•••••• L••Feb 9, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• W•••••• A••• · "Chief Compliance Officer"controlsince 03/2010 · owns less than 5%
- R•••••••• R••••••• A••• · President And Ceocontrolsince 10/2009 · owns less than 5%
- E••••• O• K••••••• D•••• B•••• · Indirect Ownercontrolsince 08/1996 · owns F of T•• K•••••• F••••• L•••••• P•••••••••
- K••••••• V•••••••• K••• · Indirect Ownercontrolsince 08/1998 · owns 25% to 50% of T•• K•••••• F••••• L•••••• P•••••••••
- R•••••••• R••••••• A••• · Indirect Ownercontrolsince 08/1998 · owns 50% to 75% of K••••••• R••••••• • C••• L••
Entity owners
- K••••••• R••••••• • C••• L•• · Sole Shareholderdirect · owns 75% or more
- T•• K•••••• F••••• L•••••• P••••••••• · Indirect Ownerindirect · owns 50% to 75% of K••••••• R••••••• • C••• L••
Related persons
Schedule D 7.A
- K• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 59 to 53Jan 14, 2025 to Feb 17, 2026
- HNW clients · 32 to 25Jan 14, 2025 to Feb 17, 2026
- Discretionary RAUM · $104M to $90.7MJan 14, 2025 to Feb 17, 2026
- HNW RAUM · $86.0M to $70.2MJan 14, 2025 to Feb 17, 2026
- Pension RAUM · $3.3M to $4.0MJan 14, 2025 to Feb 17, 2026
- RAUM · $104M to $90.7MJan 14, 2025 to Feb 17, 2026
- Accounts · 60 to 59Feb 8, 2024 to Jan 14, 2025
- Financial planning clients · 11-25 to 11-25Feb 8, 2024 to Jan 14, 2025
- HQ city · unset to Feb 8, 2024 to Jan 14, 2025
- HQ state · unset to Feb 8, 2024 to Jan 14, 2025
- Discretionary RAUM · $98.4M to $104MFeb 8, 2024 to Jan 14, 2025
- HNW RAUM · $81.5M to $86.0MFeb 8, 2024 to Jan 14, 2025
- Pension RAUM · $2.6M to $3.3MFeb 8, 2024 to Jan 14, 2025
- RAUM · $98.4M to $104MFeb 8, 2024 to Jan 14, 2025
- Accounts · 59 to 60Mar 29, 2023 to Feb 8, 2024
- Discretionary RAUM · $90.6M to $98.4MMar 29, 2023 to Feb 8, 2024
- HNW RAUM · $75.6M to $81.5MMar 29, 2023 to Feb 8, 2024
- Pension RAUM · $2.5M to $2.6MMar 29, 2023 to Feb 8, 2024
- RAUM · $90.6M to $98.4MMar 29, 2023 to Feb 8, 2024
- Accounts · 58 to 59Jan 27, 2022 to Mar 29, 2023
- HNW clients · 33 to 32Jan 27, 2022 to Mar 29, 2023
- Employees · 3 to 2Jan 27, 2022 to Mar 29, 2023
- Discretionary RAUM · $101M to $90.6MJan 27, 2022 to Mar 29, 2023
- HNW RAUM · $77.3M to $75.6MJan 27, 2022 to Mar 29, 2023
- Pension RAUM · $2.9M to $2.5MJan 27, 2022 to Mar 29, 2023
- RAUM · $101M to $90.6MJan 27, 2022 to Mar 29, 2023
- Accounts · 60 to 58Feb 8, 2021 to Jan 27, 2022
- HNW clients · 30 to 33Feb 8, 2021 to Jan 27, 2022
- Discretionary RAUM · $97.4M to $101MFeb 8, 2021 to Jan 27, 2022
- HNW RAUM · $75.6M to $77.3MFeb 8, 2021 to Jan 27, 2022
- Pension RAUM · $1.9M to $2.9MFeb 8, 2021 to Jan 27, 2022
- RAUM · $97.4M to $101MFeb 8, 2021 to Jan 27, 2022
- HNW clients · 33 to 30Jun 30, 2020 to Feb 8, 2021
- Discretionary RAUM · $93.7M to $97.4MJun 30, 2020 to Feb 8, 2021
- HNW RAUM · $74.3M to $75.6MJun 30, 2020 to Feb 8, 2021
- Pension RAUM · $1.7M to $1.9MJun 30, 2020 to Feb 8, 2021
- RAUM · $93.7M to $97.4MJun 30, 2020 to Feb 8, 2021
- Accounts · 59 to 60Feb 12, 2019 to Feb 19, 2020
- Advisory employees · 1 to 2Feb 12, 2019 to Feb 19, 2020
- BD registered reps · 1 to 2Feb 12, 2019 to Feb 19, 2020
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
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 609-924-4125reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-924-2500reportedpublic record, Form ADV, Apr 24, 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
- $90.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026