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••• F•••••••• S•••••••

Former SEC-registered adviserMilwaukee, WisconsinCRD 118573SEC 801-60859IAPD
Legal name K••• C••••••
Latest filing May 11, 2020
First filing on the tape Feb 2, 2012 · 10 filings
RAUM
$262M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$255M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$262M as of Feb 6, 2020
Feb 2, 2012$133M then
HNW client RAUM$255M as of Feb 6, 2020
Feb 6, 2018$229M then
State-registered IARs (5.B.3)2 as of Feb 6, 2020
Feb 2, 20120 then
Employees (5.A)4 as of Feb 6, 2020
Feb 8, 20134 then
Private funds: no history
RAUM +22% over the last fiscal year+8.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 11, 2020; every figure names its basis
RAUM per advisor
$131MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+22%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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
Custody
$171M, 144 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$255M97%
  • Pension and profit-sharing plans$6.7M2.6%
Individual clients
n/areported
HNW clients
164reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
165reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$171M for 144 clientsreported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E••••• K••••• P• · President, Director, Chief Compliance Officercontrol
      since 03/2001 · owns less than 5%
    • A••••••• J••••• K• · Shareholder
      since 10/2001 · owns 10% to 25%
    • A••••••• R•••••• M• · Director
      since 12/1997 · owns less than 5%
    • B••••••• A••••••• M• · Secretary, Treasurer
      since 12/2001 · owns less than 5%
    • B•••••••• S••••• K• · Shareholder/Director/V.P.
      since 10/2001 · owns 10% to 25%
    • E•••••••• W••••• K• · Shareholder
      since 10/2001 · owns 10% to 25%
    • F•••••• S••••••• M• · Director
      since 03/2001 · owns less than 5%
    • K•••••• A••••••••• M• · Director
      since 12/2000 · owns less than 5%
    • K•••••• N••••• K• · Shareholder
      since 10/2001 · owns 10% to 25%
    • K•••• R•••• · Shareholder
      since 10/2001 · 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
    • Accounts · 149 to 165
      Feb 19, 2019 to Feb 6, 2020
    • HNW clients · 148 to 164
      Feb 19, 2019 to Feb 6, 2020
    • Assets in custody · $159M to $171M
      Feb 19, 2019 to Feb 6, 2020
    • Financial planning clients · 51-100 to 101-250
      Feb 19, 2019 to Feb 6, 2020
    • Discretionary RAUM · $215M to $262M
      Feb 19, 2019 to Feb 6, 2020
    • HNW RAUM · $213M to $255M
      Feb 19, 2019 to Feb 6, 2020
    • Pension RAUM · $2.6M to $6.7M
      Feb 19, 2019 to Feb 6, 2020
    • RAUM · $215M to $262M
      Feb 19, 2019 to Feb 6, 2020
    • Accounts · 134 to 149
      Feb 6, 2018 to Feb 19, 2019
    • HNW clients · 133 to 148
      Feb 6, 2018 to Feb 19, 2019
    • Assets in custody · $160M to $159M
      Feb 6, 2018 to Feb 19, 2019
    • Discretionary RAUM · $231M to $215M
      Feb 6, 2018 to Feb 19, 2019
    • HNW RAUM · $229M to $213M
      Feb 6, 2018 to Feb 19, 2019
    • Pension RAUM · $2.4M to $2.6M
      Feb 6, 2018 to Feb 19, 2019
    • RAUM · $231M to $215M
      Feb 6, 2018 to Feb 19, 2019
    • Accounts · 126 to 134
      Feb 6, 2017 to Feb 6, 2018
    • HNW clients · unset to 133.0
      Feb 6, 2017 to Feb 6, 2018
    • Assets in custody · unset to 160229591.0
      Feb 6, 2017 to Feb 6, 2018
    • Custody of client assets · false to true
      Feb 6, 2017 to Feb 6, 2018
    • Other offices · unset to 0.0
      Feb 6, 2017 to Feb 6, 2018
    • Discretionary RAUM · $203M to $231M
      Feb 6, 2017 to Feb 6, 2018
    • HNW RAUM · unset to 228756613.0
      Feb 6, 2017 to Feb 6, 2018
    • Pension RAUM · unset to 2384720.0
      Feb 6, 2017 to Feb 6, 2018
    • RAUM · $203M to $231M
      Feb 6, 2017 to Feb 6, 2018
    • Accounts · 258 to 126
      Jan 27, 2016 to Feb 6, 2017
    • Discretionary RAUM · $184M to $203M
      Jan 27, 2016 to Feb 6, 2017
    • RAUM · $184M to $203M
      Jan 27, 2016 to Feb 6, 2017
    • Accounts · 219 to 258
      Feb 13, 2015 to Jan 27, 2016
    • Discretionary RAUM · $196M to $184M
      Feb 13, 2015 to Jan 27, 2016
    • RAUM · $196M to $184M
      Feb 13, 2015 to Jan 27, 2016
    • Accounts · 209 to 219
      Feb 11, 2014 to Feb 13, 2015
    • Discretionary RAUM · $187M to $196M
      Feb 11, 2014 to Feb 13, 2015
    • RAUM · $187M to $196M
      Feb 11, 2014 to Feb 13, 2015
    • Accounts · 183 to 209
      Feb 8, 2013 to Feb 11, 2014
    • Discretionary RAUM · $155M to $187M
      Feb 8, 2013 to Feb 11, 2014
    • RAUM · $155M to $187M
      Feb 8, 2013 to Feb 11, 2014
    • Accounts · 129 to 183
      Feb 2, 2012 to Feb 8, 2013
    • Advisory employees · unset to 2.0
      Feb 2, 2012 to Feb 8, 2013
    • Employees · unset to 4.0
      Feb 2, 2012 to Feb 8, 2013
    • Financial planning clients · 26-50 to 51-100
      Feb 2, 2012 to Feb 8, 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