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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
K••••••••• A••••••• I•••
Latest filing Jul 30, 2025
First filing on the tape Mar 2, 2012 · 21 filings
SEC status approved since Apr 11, 2006
RAUM
$159M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$159M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
21 filings and snapshots on the tape
RAUM$159M as of Jul 30, 2025
Mar 16, 2012$65.5M then
HNW client RAUM$155M as of Jul 30, 2025
Mar 26, 2018$106M then
State-registered IARs (5.B.3)1 as of Jul 30, 2025
Mar 22, 20130 then
Employees (5.A)1 as of Jul 30, 2025
Mar 22, 20132 then
Private funds: no history
RAUM +16% over the last fiscal year+1.2% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jul 30, 2025; every figure names its basis
- RAUM per advisor
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.0%derived
- Compensation
- percentage of assets, hourly, 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$155M98%
- Individuals$3.2M2.0%
- Individual clients
- 7reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 106reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- C•••••••• F••• L•• to M••••• G••••• A••••••• I•••Oct 6, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• J••• H•••• · President, Secy.,Treas.& Chief Compliance Officercontrolsince 02/1992 · owns 75% or more
- L••• C••••••••• F••• · Vice Presidentsince 06/1994 · owns less than 5%
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
- Financial planning clients · 26-50 to 26-50Jun 10, 2025 to Jul 30, 2025
- Advisory employees · 2 to 1Mar 29, 2025 to Jun 10, 2025
- Employees · 2 to 1Mar 29, 2025 to Jun 10, 2025
- State-registered IARs · 2 to 1Mar 29, 2025 to Jun 10, 2025
- Accounts · 98 to 106Mar 4, 2024 to Mar 29, 2025
- HNW clients · 26 to 27Mar 4, 2024 to Mar 29, 2025
- Assets in custody · $35.9M to $40.8MMar 4, 2024 to Mar 29, 2025
- HQ city · unset to Mar 4, 2024 to Mar 29, 2025
- HQ state · unset to Mar 4, 2024 to Mar 29, 2025
- Discretionary RAUM · $136M to $159MMar 4, 2024 to Mar 29, 2025
- HNW RAUM · $134M to $155MMar 4, 2024 to Mar 29, 2025
- Individual RAUM · $2.6M to $3.2MMar 4, 2024 to Mar 29, 2025
- RAUM · $136M to $159MMar 4, 2024 to Mar 29, 2025
- Accounts · 96 to 98Mar 21, 2023 to Mar 4, 2024
- Individual clients · 6 to 7Mar 21, 2023 to Mar 4, 2024
- Assets in custody · $6.9M to $35.9MMar 21, 2023 to Mar 4, 2024
- Custody of client assets · true to falseMar 21, 2023 to Mar 4, 2024
- Discretionary RAUM · $113M to $136MMar 21, 2023 to Mar 4, 2024
- HNW RAUM · $111M to $134MMar 21, 2023 to Mar 4, 2024
- Individual RAUM · $1.8M to $2.6MMar 21, 2023 to Mar 4, 2024
- RAUM · $113M to $136MMar 21, 2023 to Mar 4, 2024
- Accounts · 107 to 96Apr 28, 2022 to Mar 21, 2023
- Assets in custody · $56.6M to $6.9MApr 28, 2022 to Mar 21, 2023
- Discretionary RAUM · $153M to $113MApr 28, 2022 to Mar 21, 2023
- HNW RAUM · $151M to $111MApr 28, 2022 to Mar 21, 2023
- Individual RAUM · $2.1M to $1.8MApr 28, 2022 to Mar 21, 2023
- RAUM · $153M to $113MApr 28, 2022 to Mar 21, 2023
- HNW clients · 24 to 26Mar 29, 2021 to Mar 28, 2022
- Assets in custody · $70.3M to $56.6MMar 29, 2021 to Mar 28, 2022
- Financial planning clients · 51-100 to 26-50Mar 29, 2021 to Mar 28, 2022
- State-registered IARs · 0 to 2Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $133M to $153MMar 29, 2021 to Mar 28, 2022
- HNW RAUM · $131M to $151MMar 29, 2021 to Mar 28, 2022
- Individual RAUM · $2.5M to $2.1MMar 29, 2021 to Mar 28, 2022
- RAUM · $133M to $153MMar 29, 2021 to Mar 28, 2022
- Accounts · 105 to 107Jun 30, 2020 to Mar 29, 2021
- HNW clients · 26 to 24Jun 30, 2020 to Mar 29, 2021
- Individual clients · 7 to 6Jun 30, 2020 to Mar 29, 2021
- Assets in custody · $74.1M to $70.3MJun 30, 2020 to Mar 29, 2021
- Financial planning clients · 26-50 to 51-100Jun 30, 2020 to Mar 29, 2021
Signals
2 dated events
- K••••••••• A••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $158.6M)Dec 20, 2025 · Left the SEC roster · derived
- C•••••••• F••• L•• left K••••••••• A••••••• I••• for M••••• G••••• A••••••• I••• (registered 2025-06-05)Oct 6, 2025 · Advisor changed firm · 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