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•••• A•••••••• L•••

Independent wealth managerLoves Park, IllinoisCRD 121399SEC 801-79516website IAPD

Latest filing May 6, 2026

First filing on the tape Mar 28, 2014 · 50 filings

SEC status approved since Apr 9, 2014

RAUM

$758M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$757M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$54.1M

derived; firm RAUM over IAPD count

Employees

13 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

50 filings and snapshots on the tape

RAUM$758M as of May 6, 2026

Mar 30, 2015$214M then

HNW client RAUM$392M as of May 6, 2026

Mar 30, 2018$48.2M then

State-registered IARs (5.B.3)15 as of May 6, 2026

Mar 30, 20156 then

Employees (5.A)15 as of May 6, 2026

Mar 30, 201516 then

Private funds: no history

RAUM +20% over the last fiscal year+17% a year over threeIARs 12 to 15

Practice profile

derived from the filing of May 6, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $54.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 73derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $282,136derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.1derivedItem 5.A over advisors
Advisors per office: 7.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +20%derivedbetween the last two annual amendments
Advisor growth, one year: +25%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.5%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
Financial planning clients: 1,000reportedItem 5.H
Wrap fee program: $1.5BreportedItem 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)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$392M52%
Individuals$365M48%
Corporations and businesses$1.1M0.1%
Charitable organizations$100,0000.0%

Individual clients: 812reported
HNW clients: 203reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2,687reported
Financial planning clients: 1,000reported
Wrap fee programs: $758M sponsored, $758M managedreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

14 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
C•••• J•••• K••••	L•••S P•••, Il	Mar 8, 2007	19 y	2
K••• A• K•••Certified Financial Planner	L•••S P•••, Il	Jul 15, 2014	12 y	0
J••••• E••• S•••••••Chartered Financial Analyst	L•••S P•••, Il	Jan 15, 2018	14 y	0
N••••• T••••• W••••••	L•••S P•••, Il	Apr 2, 2020	25 y	2
A••••• M• T•••	L•••S P•••, Il	Jul 1, 2020	10 y	0
N••••• A••••• B•••••Certified Financial Planner	L•••S P•••, Il	Nov 2, 2020	12 y	3
E••• J•••• S•••••••Certified Financial Planner	L•••S P•••, Il	Dec 7, 2020	13 y	2
M•••••• J•••• S••••••••Certified Financial Planner	L•••S P•••, Il	Nov 12, 2022	20 y	0
E••• S•••• S••••••Certified Financial Planner	L•••S P•••, Il	Jan 5, 2024	14 y	2
R•••••• C•••• H•••••••••	Fitchburg, Wi	May 1, 2024	11 y	0
D•••• N••• H••••••••	L•••S P•••, Il	Apr 17, 2025	11 y	0
L•••• V••••••• W•••••Certified Financial Planner	L•••S P•••, Il	Oct 1, 2025	29 y	2
M••••• B•••••• T••••••	L•••S P•••, Il	Oct 3, 2025	10 y	0
A•••• E••••• S••••••••	Fitchburg, Wi	Jun 25, 2026	11 y	5

Advisor movement

0 left, 2 joined in 12 months

net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months

Left, latest

M•••••• A• W••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
Jan 12, 2024 · RIA to affiliated broker-dealer or bank
M•••••• H••••• W•••• to M•••••• I••••••••• A•••••••• L••
May 1, 2022 · RIA to RIA
L•••• J••• D•••••• to M••••• G••••• A••••••• I•••
Dec 14, 2021 · RIA to RIA
J•••• C• K••••• to P••• A••••• S••••••••• L••
Feb 15, 2019 · RIA to affiliated broker-dealer or bank
S•••• A••• J•••••• to R••••• W• B•••• • C•• I•••••••••
Feb 16, 2010 · Other
G••• D••••• L••• to R••••• W• B•••• • C•• I•••••••••
Feb 16, 2010 · Other
H••• K••• H•••• to S•••••••• F••••••••• I•••
Feb 2, 2007 · Other
S•••• A••• J•••••• to I••••••••• A••••••• S••••••• I••
Mar 25, 2003 · Other
G••• D••••• L••• to P•••••••• S••••••••• I•••
Mar 25, 2003 · Other

Joined, latest

A•••• E••••• S•••••••• from O•••• W••••• M••••••••• L••
Jun 25, 2026 · RIA to RIA
L•••• V••••••• W••••• from C••••• F•••••••• P•••••••
Oct 1, 2025 · Other
E••• S•••• S•••••• from W••••••• F•••••••• S•••••••• I•••
Jan 5, 2024 · Affiliated broker-dealer or bank to independent RIA
E••• J•••• S••••••• from A••••• A•• P••••••• S•••••••
Dec 7, 2020 · Affiliated broker-dealer or bank to independent RIA
N••••• A••••• B••••• from B•••••••• W•••••• L••
Nov 2, 2020 · RIA to RIA
N••••• T••••• W•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Apr 2, 2020 · Wirehouse to independent RIA
S•••• A••• J•••••• from I••••••••• A••••••• S••••••• I••
Mar 8, 2007 · Other
G••• D••••• L••• from I••••••••• A••••••• S••••••• I••
Mar 8, 2007 · Other
C•••• J•••• K•••• from K•• F•••••••• S•••••••• I••
Mar 8, 2007 · Other
H••• K••• H•••• from I••••••••• A••••••• S••••••• I••
Aug 2, 2003 · Other
G••• D••••• L••• from I••••••••• A••••••• S••••••• I••
Jul 15, 2002 · Other
S•••• A••• J•••••• from I••••••••• A••••••• S••••••• I••
Apr 29, 2002 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K•••• K•••• A• · Cfo, Membercontrol
since 08/2018 · owns 10% to 25%
K••••• C••••• J•••• · President, Membercontrol
since 01/2014 · owns 25% to 50%
M•••••• S••••••••• R•••• · Coocontrol
since 02/2017 · owns less than 5%
W••••••••• M••••••• L•••• · Ceo, Membercontrol
since 01/2014 · owns 25% to 50%
R•••••• R•••• B•••••• · Chief Compliance Officer
since 06/2017 · owns less than 5%
S•••••••• E•••• J•••• · Member
since 02/2024 · owns less than 5%
S•••••••• J•••••• E••• · Director Of Portfolio Management, Member
since 02/2024 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
L•••S P•••, Il · principal	14	3	0
Fitchburg, Wi	8	1	0

Offices

Schedule D 1.F, the 25 largest

Fitchburg, WI6 employees

What changed

consecutive filings, newest first

Accounts · 2,539 to 2,687
Jan 5, 2026 to Mar 31, 2026
Advisory employees · 15 to 13
Jan 5, 2026 to Mar 31, 2026
HNW clients · 172 to 203
Jan 5, 2026 to Mar 31, 2026
Individual clients · 799 to 812
Jan 5, 2026 to Mar 31, 2026
Employees · 16 to 15
Jan 5, 2026 to Mar 31, 2026
Discretionary RAUM · $632M to $758M
Jan 5, 2026 to Mar 31, 2026
HNW RAUM · $301M to $392M
Jan 5, 2026 to Mar 31, 2026
Individual RAUM · $330M to $365M
Jan 5, 2026 to Mar 31, 2026
RAUM · $632M to $758M
Jan 5, 2026 to Mar 31, 2026
Wrap assets (manager) · $632M to $758M
Jan 5, 2026 to Mar 31, 2026
Wrap assets (sponsor) · $0 to $758M
Jan 5, 2026 to Mar 31, 2026
Advisory employees · 12 to 15
Aug 26, 2025 to Oct 1, 2025
Employees · 13 to 16
Aug 26, 2025 to Oct 1, 2025
State-registered IARs · 12 to 15
Aug 26, 2025 to Oct 1, 2025
Accounts · 969 to 2,539
Jan 2, 2025 to Mar 28, 2025
HNW clients · 139 to 172
Jan 2, 2025 to Mar 28, 2025
Individual clients · 826 to 799
Jan 2, 2025 to Mar 28, 2025
Financial planning clients · More than 500 to More than 500
Jan 2, 2025 to Mar 28, 2025
Discretionary RAUM · $569M to $632M
Jan 2, 2025 to Mar 28, 2025
HNW RAUM · $234M to $301M
Jan 2, 2025 to Mar 28, 2025
Individual RAUM · $327M to $330M
Jan 2, 2025 to Mar 28, 2025
RAUM · $569M to $632M
Jan 2, 2025 to Mar 28, 2025
Wrap assets (manager) · $569M to $632M
Jan 2, 2025 to Mar 28, 2025
Accounts · 2,466 to 969
Oct 9, 2023 to Mar 4, 2024
HNW clients · 112 to 139
Oct 9, 2023 to Mar 4, 2024
Individual clients · 898 to 826
Oct 9, 2023 to Mar 4, 2024
Discretionary RAUM · $478M to $569M
Oct 9, 2023 to Mar 4, 2024
HNW RAUM · $164M to $234M
Oct 9, 2023 to Mar 4, 2024
Individual RAUM · $307M to $327M
Oct 9, 2023 to Mar 4, 2024
RAUM · $478M to $569M
Oct 9, 2023 to Mar 4, 2024
Wrap assets (manager) · $478M to $569M
Oct 9, 2023 to Mar 4, 2024
Accounts · 2,329 to 2,466
Oct 31, 2022 to Mar 30, 2023
HNW clients · 127 to 112
Oct 31, 2022 to Mar 30, 2023
Individual clients · 870 to 898
Oct 31, 2022 to Mar 30, 2023
Employees · 14 to 13
Oct 31, 2022 to Mar 30, 2023
State-registered IARs · 10 to 12
Oct 31, 2022 to Mar 30, 2023
Discretionary RAUM · $522M to $478M
Oct 31, 2022 to Mar 30, 2023
HNW RAUM · $204M to $164M
Oct 31, 2022 to Mar 30, 2023
Individual RAUM · $310M to $307M
Oct 31, 2022 to Mar 30, 2023
RAUM · $522M to $478M
Oct 31, 2022 to Mar 30, 2023

Signals

3 dated events

M•••••• A• W••••• left K•••• F•••••••• A•••• A•••••••• L••• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-02-05)
Jan 12, 2024 · Advisor changed firm · fact
M•••••• H••••• W•••• left K•••• F•••••••• A•••• A•••••••• L••• for M•••••• I••••••••• A•••••••• L•• (registered 2022-06-22)
May 1, 2022 · Advisor changed firm · fact
K•••• F•••••••• A•••• A•••••••• L••• filed its initial SEC registration (Form ADV)
Mar 28, 2014 · 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

Business email: info@klaasfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 877-495-5227reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 815-877-8440reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 608-442-5637reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: H••••://WWW.LINKEDIN.COM/COMPANY/2181268reportedpublic record, Form ADV, Sep 18, 2026
Website: K•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 815-877-8440reportedpublic record, Form ADV, May 6, 2026
Contact form: klaasfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
Team page: klaasfinancial.com/about/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 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: $54.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026