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
Q••••• F••••• I•••
Latest filing Apr 28, 2017
First filing on the tape Mar 22, 2012 · 11 filings
RAUM
$154M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$154M as of Mar 30, 2017
Mar 22, 2012$339M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 22, 20120 then
Employees (5.A)6 as of Mar 30, 2017
Apr 1, 201312 then
Private funds: no history
RAUM -29% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2017; 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
- $30.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -29%derivedbetween 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
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 5reported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J•••••• K•••• · Chief Operations Officercontrolsince 12/2007 · owns 10% to 25%
- K••••• L••••• · Shareholder,Treasurer,Secretary,Cfocontrolsince 02/2002 · owns 50% to 75%
- K•••• J•••••• H••••• · Ceo, Shareholder,Chairman,Director,controlsince 05/2001 · owns 50% to 75%
- R•••••••• T••••••• E••••• · Chief Compliance Officercontrolsince 03/2004 · owns less than 5%
- K•••••••• T•••••• F•••• · Portfolio Managersince 07/2010 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Oct 5, 2016 to Mar 30, 2017
- BD registered reps · 2 to 1Oct 5, 2016 to Mar 30, 2017
- Employees · 10 to 6Oct 5, 2016 to Mar 30, 2017
- Discretionary RAUM · $215M to $154MOct 5, 2016 to Mar 30, 2017
- RAUM · $215M to $154MOct 5, 2016 to Mar 30, 2017
- Employees · 12 to 10Feb 24, 2015 to Mar 29, 2016
- Discretionary RAUM · $334M to $215MFeb 24, 2015 to Mar 29, 2016
- RAUM · $334M to $215MFeb 24, 2015 to Mar 29, 2016
- Accounts · 7 to 5Oct 31, 2014 to Feb 24, 2015
- Discretionary RAUM · $325M to $334MOct 31, 2014 to Feb 24, 2015
- RAUM · $325M to $334MOct 31, 2014 to Feb 24, 2015
- HQ city · MALVERN to BERWYNMar 26, 2014 to Oct 31, 2014
- Discretionary RAUM · $263M to $325MApr 1, 2013 to Mar 26, 2014
- RAUM · $263M to $325MApr 1, 2013 to Mar 26, 2014
- Accounts · 8 to 7Mar 22, 2012 to Apr 1, 2013
- Advisory employees · unset to 3.0Mar 22, 2012 to Apr 1, 2013
- BD registered reps · unset to 2.0Mar 22, 2012 to Apr 1, 2013
- Employees · unset to 12.0Mar 22, 2012 to Apr 1, 2013
- Discretionary RAUM · $339M to $263MMar 22, 2012 to Apr 1, 2013
- RAUM · $339M to $263MMar 22, 2012 to Apr 1, 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