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•••• I••••••••• G••••• L••

Former SEC-registered adviserBrookfield, WisconsinCRD 113169SEC 801-119756websiteIAPD
Latest filing Sep 11, 2024
First filing on the tape Oct 8, 2020 · 25 filings
SEC status approved since Nov 9, 2020
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
11 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.1B as of Mar 6, 2024
Mar 30, 2021$929M then
HNW client RAUM$776M as of Mar 6, 2024
Mar 30, 2021$637M then
State-registered IARs (5.B.3)11 as of Mar 6, 2024
Mar 30, 202110 then
Employees (5.A)22 as of Mar 6, 2024
Mar 30, 202123 then
Private funds: no history
RAUM +19% over the last fiscal year+6.1% a year over threeIARs 12 to 11offices 4 to 5
Practice profile
derived from the filing of Sep 11, 2024; every figure names its basis
RAUM per advisor
$101MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
123derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$244,901derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.8derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
-8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Financial planning clients
750reportedItem 5.H
Wrap fee program
$1.1BreportedItem 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$776M70%
  • Individuals$332M30%
  • Charitable organizations$532,7570.0%
Individual clients
936reported
HNW clients
412reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4,527reported
Financial planning clients
750reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
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••••• A••••• T•••••• · President, Chief Compliance Officercontrol
    since 09/2020 · owns 10% to 25%
  • K••••• J••••••• D•••• · Founder / Senior Financial Advisorcontrol
    since 02/2007 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Elm Grove, Wi000
Brookfield, Wi · principal000
Offices
Schedule D 1.F, the 25 largest
  • Cape Coral, FL2 employees
  • Sturtevant, WI1 employees
  • Delafield, WI
  • Phoenix, AZ
  • Port Washington, WI
What changed
consecutive filings, newest first
  • Accounts · 3,723 to 4,527
    Dec 21, 2023 to Mar 6, 2024
  • Advisory employees · 12 to 11
    Dec 21, 2023 to Mar 6, 2024
  • BD registered reps · 13 to 12
    Dec 21, 2023 to Mar 6, 2024
  • HNW clients · 325 to 412
    Dec 21, 2023 to Mar 6, 2024
  • Individual clients · 857 to 936
    Dec 21, 2023 to Mar 6, 2024
  • Employees · 26 to 22
    Dec 21, 2023 to Mar 6, 2024
  • HQ city · WAUKESHA to BROOKFIELD
    Dec 21, 2023 to Mar 6, 2024
  • State-registered IARs · 12 to 11
    Dec 21, 2023 to Mar 6, 2024
  • Discretionary RAUM · $935M to $1.1B
    Dec 21, 2023 to Mar 6, 2024
  • HNW RAUM · $591M to $776M
    Dec 21, 2023 to Mar 6, 2024
  • Individual RAUM · $344M to $332M
    Dec 21, 2023 to Mar 6, 2024
  • RAUM · $935M to $1.1B
    Dec 21, 2023 to Mar 6, 2024
  • Other offices · 4 to 5
    Mar 23, 2023 to Sep 1, 2023
  • Accounts · 3,486 to 3,723
    Nov 29, 2022 to Mar 23, 2023
  • Advisory employees · 11 to 12
    Nov 29, 2022 to Mar 23, 2023
  • BD registered reps · 11 to 13
    Nov 29, 2022 to Mar 23, 2023
  • HNW clients · 369 to 325
    Nov 29, 2022 to Mar 23, 2023
  • Individual clients · 719 to 857
    Nov 29, 2022 to Mar 23, 2023
  • State-registered IARs · 11 to 12
    Nov 29, 2022 to Mar 23, 2023
  • Discretionary RAUM · $961M to $935M
    Nov 29, 2022 to Mar 23, 2023
  • HNW RAUM · $695M to $591M
    Nov 29, 2022 to Mar 23, 2023
  • Individual RAUM · $265M to $344M
    Nov 29, 2022 to Mar 23, 2023
  • RAUM · $961M to $935M
    Nov 29, 2022 to Mar 23, 2023
  • Other offices · 3 to 4
    Jul 19, 2022 to Sep 13, 2022
  • Accounts · 3,301 to 3,486
    Sep 13, 2021 to Mar 9, 2022
  • Advisory employees · 10 to 11
    Sep 13, 2021 to Mar 9, 2022
  • BD registered reps · 10 to 11
    Sep 13, 2021 to Mar 9, 2022
  • HNW clients · 348 to 369
    Sep 13, 2021 to Mar 9, 2022
  • Individual clients · 696 to 719
    Sep 13, 2021 to Mar 9, 2022
  • Assets in custody · 885870650.0 to unset
    Sep 13, 2021 to Mar 9, 2022
  • Custody of client assets · true to false
    Sep 13, 2021 to Mar 9, 2022
  • State-registered IARs · 10 to 11
    Sep 13, 2021 to Mar 9, 2022
  • Discretionary RAUM · $914M to $961M
    Sep 13, 2021 to Mar 9, 2022
  • HNW RAUM · $637M to $695M
    Sep 13, 2021 to Mar 9, 2022
  • Individual RAUM · $291M to $265M
    Sep 13, 2021 to Mar 9, 2022
  • Non-discretionary RAUM · $15.6M to $0
    Sep 13, 2021 to Mar 9, 2022
  • RAUM · $929M to $961M
    Sep 13, 2021 to Mar 9, 2022
  • Employees · 23 to 26
    Apr 27, 2021 to May 19, 2021
  • Wrap assets (manager) · unset to 0.0
    Mar 30, 2021 to Apr 27, 2021
  • Wrap assets (sponsor) · unset to 0.0
    Mar 30, 2021 to Apr 27, 2021
Signals
15 dated events
  • K•••• I••••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $1.1B)
    Mar 6, 2025 · Left the SEC roster · derived
  • A•••• T•••••• K•••• left K•••• I••••••••• G••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2009-08-10)
    Feb 18, 2025 · Advisor changed firm · fact
  • J••••• M•••••• S•••• left K•••• I••••••••• G••••• L•• for C••••••• P••••••• (registered 2024-12-20)
    Dec 31, 2024 · Advisor changed firm · fact
  • R•••••• J••• G••••• left K•••• I••••••••• G••••• L•• for C••••••• P••••••• (registered 2025-10-28)
    Dec 31, 2024 · Advisor changed firm · fact
  • A•••• M•••••• S••••••• left K•••• I••••••••• G••••• L•• for C••••••• P••••••• (registered 2024-12-20)
    Dec 31, 2024 · Advisor changed firm · fact
  • C•••••••• C••••••• W•••••••• left K•••• I••••••••• G••••• L•• for C••••••• P••••••• (registered 2024-12-20)
    Dec 31, 2024 · Advisor changed firm · fact
  • J••• J•••• W•••• left K•••• I••••••••• G••••• L•• for C••••••• P••••••• (registered 2024-12-20)
    Dec 31, 2024 · Advisor changed firm · fact
  • T••••• R••••• K•••••• left K•••• I••••••••• G••••• L•• for C••••••• P••••••• (registered 2024-12-20)
    Dec 31, 2024 · Advisor changed firm · fact
  • J•••••• D•••• K•••• left K•••• I••••••••• G••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2009-08-11)
    Dec 31, 2024 · Advisor changed firm · fact
  • P••• L•••••• S••••••• left K•••• I••••••••• G••••• L•• for C••••••• P••••••• (registered 2024-12-26)
    Dec 31, 2024 · Advisor changed firm · fact
  • A•••••• T••••• P••••••• left K•••• I••••••••• G••••• L•• for C••••••• P••••••• (registered 2024-12-20)
    Dec 23, 2024 · Advisor changed firm · fact
  • K•••• I••••••••• G••••• L••'s advisors moved to C••••••• P••••••• (Brookfield, WI): 8 of 10 registered, within 8 days
    Dec 23, 2024 · Firm absorbed (people side) · derived
  • M•••• A•• N•••••• S•••••• left K•••• I••••••••• G••••• L•• for E••••••••• F•••••••• P••••••• L•• (registered 2024-05-07)
    Feb 8, 2024 · Advisor changed firm · fact
  • K•••• I••••••••• G••••• L•• reported RAUM $929.4M, up 349% from $207.0M (2020-12-15 to 2021-03-30)
    Mar 30, 2021 · RAUM change · derived
  • K•••• I••••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    Oct 8, 2020 · First SEC registration · fact
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