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••••• F•••••••• A•••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Mar 26, 2012 · 15 filings
SEC status approved since Apr 19, 2022
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$118M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$128M as of Mar 6, 2026
Mar 26, 2012$57.7M then
HNW client RAUM$117M as of Mar 6, 2026
Mar 25, 2022$99.6M then
State-registered IARs (5.B.3)1 as of Mar 6, 2026
Mar 25, 20221 then
Employees (5.A)1 as of Mar 6, 2026
Mar 25, 20221 then
Private funds: no history
RAUM +5.0% over the last fiscal year+8.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 6, 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
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $4.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
- 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
- High-net-worth individuals$117M91%
- Charitable organizations$10.7M8.3%
- Individuals$958,3140.7%
- Individual clients
- n/areported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 27reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• K••••• S•••••• | Dallas, Tx | Mar 26, 2018 | 32 y | 1 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• K••••• K••••• · Managing Member, Chief Compliance Officercontrolsince 12/2005 · owns 75% or more
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
- Accounts · 24 to 27Mar 20, 2025 to Mar 6, 2026
- HNW clients · 21 to 22Mar 20, 2025 to Mar 6, 2026
- Discretionary RAUM · $122M to $128MMar 20, 2025 to Mar 6, 2026
- HNW RAUM · $112M to $117MMar 20, 2025 to Mar 6, 2026
- Individual RAUM · $85,428 to $958,314Mar 20, 2025 to Mar 6, 2026
- RAUM · $122M to $128MMar 20, 2025 to Mar 6, 2026
- Charity clients · 1.0 to unsetMar 13, 2024 to Mar 20, 2025
- Individual clients · 2.0 to unsetMar 13, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Mar 20, 2025
- HQ city · unset to Mar 13, 2024 to Mar 20, 2025
- HQ state · unset to Mar 13, 2024 to Mar 20, 2025
- Discretionary RAUM · $110M to $122MMar 13, 2024 to Mar 20, 2025
- HNW RAUM · $98.8M to $112MMar 13, 2024 to Mar 20, 2025
- Individual RAUM · $686,137 to $85,428Mar 13, 2024 to Mar 20, 2025
- RAUM · $110M to $122MMar 13, 2024 to Mar 20, 2025
- Accounts · 22 to 24Mar 28, 2023 to Mar 13, 2024
- HNW clients · 15 to 21Mar 28, 2023 to Mar 13, 2024
- Discretionary RAUM · $99.7M to $110MMar 28, 2023 to Mar 13, 2024
- HNW RAUM · $89.7M to $98.8MMar 28, 2023 to Mar 13, 2024
- Individual RAUM · $323,400 to $686,137Mar 28, 2023 to Mar 13, 2024
- RAUM · $99.7M to $110MMar 28, 2023 to Mar 13, 2024
- Accounts · 26 to 22Mar 25, 2022 to Mar 28, 2023
- HNW clients · 22 to 15Mar 25, 2022 to Mar 28, 2023
- Individual clients · 3 to 2Mar 25, 2022 to Mar 28, 2023
- Discretionary RAUM · $111M to $99.7MMar 25, 2022 to Mar 28, 2023
- HNW RAUM · $99.6M to $89.7MMar 25, 2022 to Mar 28, 2023
- Individual RAUM · $373,404 to $323,400Mar 25, 2022 to Mar 28, 2023
- RAUM · $111M to $99.7MMar 25, 2022 to Mar 28, 2023
- Related adviser · true to falseMar 25, 2022 to Mar 28, 2023
- Advisory activities · 3 to 2Mar 18, 2022 to Mar 25, 2022
- Accounts · 62 to 26Oct 12, 2012 to Mar 18, 2022
- Advisory employees · unset to 1.0Oct 12, 2012 to Mar 18, 2022
- Charity clients · unset to 1.0Oct 12, 2012 to Mar 18, 2022
- HNW clients · unset to 22.0Oct 12, 2012 to Mar 18, 2022
- Individual clients · unset to 3.0Oct 12, 2012 to Mar 18, 2022
- Employees · unset to 1.0Oct 12, 2012 to Mar 18, 2022
- State-registered IARs · unset to 1.0Oct 12, 2012 to Mar 18, 2022
- Other offices · unset to 0.0Oct 12, 2012 to Mar 18, 2022
- Discretionary RAUM · $58.6M to $111MOct 12, 2012 to Mar 18, 2022
- HNW RAUM · unset to 99553590.0Oct 12, 2012 to Mar 18, 2022
Signals
1 dated events
- K••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 18, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- K•••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-891-0399reportedpublic record, Form ADV, Mar 6, 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026