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•••••••• G••••• I•••
Latest filing Apr 2, 2025
First filing on the tape Feb 9, 2012 · 48 filings
SEC status approved since Jun 5, 2003
RAUM
$174M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
96%
$166M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$174M as of Apr 2, 2025
Feb 9, 2012$141M then
HNW client RAUM$142M as of Apr 2, 2025
Mar 16, 2018$94.0M then
State-registered IARs (5.B.3)5 as of Apr 2, 2025
Feb 9, 20120 then
Employees (5.A)7 as of Apr 2, 2025
Jan 25, 20136 then
Private funds: no history
RAUM +9.8% over the last fiscal year-0.9% a year over threeIARs 3 to 5
Practice profile
derived from the filing of Apr 2, 2025; every figure names its basis
- RAUM per advisor
- $34.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $323,830derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminars, otherreportedItem 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$142M81%
- Individuals$24.7M14%
- Corporations and businesses$7.6M4.4%
- Individual clients
- 45reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 537reported
- Financial planning clients
- 51-100reported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- R•••••• S••••• K••••• to K••• L••Dec 22, 2025 · RIA to RIA
- A•••• T••••• F•••••• to K••• L••Dec 22, 2025 · RIA to RIA
- C•••••• O•••••• M•••••• F•••••• to K••• L••Dec 22, 2025 · RIA to RIA
- N•••••••• G••••••• G•••••• to K••• L••Dec 22, 2025 · RIA to RIA
- B•••••• R•••••• P••••••• to T•••• P••••••• G••••Dec 20, 2023 · RIA to a state-registered adviser
- B•••• H••••• W•••••• to E• W••••• A•••••••Mar 31, 2023 · RIA to RIA
- C•••••••• L••• to M••••••May 31, 2022 · RIA to affiliated broker-dealer or bank
- N•••••• S••••• B•••• to N••••••••• M••••• I••••••••• S•••••••••Apr 27, 2017 · Other
- J••• M•••• R••••••••• to R•• C•••••• M••••••• L••Jan 25, 2017 · Other
Joined, latest
- B•••••• R•••••• P••••••• from S••••••• F•••••••• S•••••••• I•••Oct 10, 2022 · RIA to RIA
- B•••• H••••• W•••••• from C••••••• P•••••• W•••••Dec 1, 2021 · RIA to RIA
- C•••••••• L••• from T••••••• I••••••••• M••••••••• I•••Jan 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- N•••••••• G••••••• G•••••• from K•••••••••Jul 17, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• N••••••••• G••••••• · Ownercontrolsince 01/2023 · owns 10% to 25%
- K•••••• R••••••• S••••• · President And Chief Compliance Officercontrolsince 05/1989 · owns less than 5%
- K•••••• R••••••• S••••• · Trusteecontrolsince 01/2020 · owns F of R•••••• K••••• L••••• T••••
- K•••••• R••••••• S••••• · Trusteecontrolsince 05/1989 · owns F of F•••• A••••••• T••••
- W••••••••• M••••• · Trusteesince 01/2020 · owns F of R•••••• K••••• L••••• T••••
Entity owners
- F•••• A••••••• T•••• · Owner - 88.89% Voting Sharesdirect · owns less than 5%
- R•••••• K••••• L••••• T•••• · Owner - Non-Voting Sharesdirect · owns 75% or more
- R•••••• K••••• L••••• T•••• F•• L••••• · Owner - Non-Voting Sharesdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Boca Raton, Fl | 0 | 0 | 1 | ||
| Rapid City, Sd · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 530 to 537Mar 29, 2024 to Apr 2, 2025
- Advisory employees · 3 to 7Mar 29, 2024 to Apr 2, 2025
- Corporate clients · 4 to 2Mar 29, 2024 to Apr 2, 2025
- Individual clients · 49 to 45Mar 29, 2024 to Apr 2, 2025
- Employees · 5 to 7Mar 29, 2024 to Apr 2, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Apr 2, 2025
- State-registered IARs · 3 to 5Mar 29, 2024 to Apr 2, 2025
- Discretionary RAUM · $150M to $165MMar 29, 2024 to Apr 2, 2025
- HNW RAUM · $118M to $142MMar 29, 2024 to Apr 2, 2025
- Individual RAUM · $29.4M to $24.7MMar 29, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $8.0M to $9.0MMar 29, 2024 to Apr 2, 2025
- RAUM · $158M to $174MMar 29, 2024 to Apr 2, 2025
- Accounts · 535 to 530Oct 11, 2023 to Mar 25, 2024
- Advisory employees · 4 to 3Oct 11, 2023 to Mar 25, 2024
- Employees · 6 to 5Oct 11, 2023 to Mar 25, 2024
- State-registered IARs · 4 to 3Oct 11, 2023 to Mar 25, 2024
- Discretionary RAUM · $150M to $150MOct 11, 2023 to Mar 25, 2024
- HNW RAUM · $123M to $118MOct 11, 2023 to Mar 25, 2024
- Individual RAUM · $22.9M to $29.4MOct 11, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $8.0M to $8.0MOct 11, 2023 to Mar 25, 2024
- RAUM · $158M to $158MOct 11, 2023 to Mar 25, 2024
- Employees · 4 to 6Mar 30, 2023 to Aug 17, 2023
- Accounts · 544 to 535Mar 30, 2022 to Mar 30, 2023
- Charity clients · 1.0 to unsetMar 30, 2022 to Mar 30, 2023
- Corporate clients · 3 to 4Mar 30, 2022 to Mar 30, 2023
- HNW clients · 54 to 50Mar 30, 2022 to Mar 30, 2023
- Individual clients · 46 to 49Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $179M to $150MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $138M to $123MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $28.7M to $22.9MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $0 to $8.0MMar 30, 2022 to Mar 30, 2023
- RAUM · $179M to $158MMar 30, 2022 to Mar 30, 2023
- Accounts · 518 to 544Aug 20, 2021 to Mar 30, 2022
- Charity clients · unset to 1.0Aug 20, 2021 to Mar 30, 2022
- Corporate clients · unset to 3.0Aug 20, 2021 to Mar 30, 2022
- HNW clients · 47 to 54Aug 20, 2021 to Mar 30, 2022
- Employees · 8 to 4Aug 20, 2021 to Mar 30, 2022
- Insurance-licensed employees · 1 to 0Aug 20, 2021 to Mar 30, 2022
- Financial planning clients · 0 to 51-100Aug 20, 2021 to Mar 30, 2022
- Other offices · 1 to 0Aug 20, 2021 to Mar 30, 2022
Signals
14 dated events
- K••••• F•••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $173.9M)Jan 2, 2026 · Left the SEC roster · derived
- A•••• T••••• F•••••• left K••••• F•••••••• G••••• I••• for K••• L•• (registered 2025-09-15)Dec 22, 2025 · Advisor changed firm · fact
- R•••••• S••••• K••••• left K••••• F•••••••• G••••• I••• for K••• L•• (registered 2025-09-12)Dec 22, 2025 · Advisor changed firm · fact
- N•••••••• G••••••• G•••••• left K••••• F•••••••• G••••• I••• for K••• L•• (registered 2025-09-23)Dec 22, 2025 · Advisor changed firm · fact
- C•••••• O•••••• M•••••• F•••••• left K••••• F•••••••• G••••• I••• for K••• L•• (registered 2025-09-15)Dec 22, 2025 · Advisor changed firm · fact
- K••••• F•••••••• G••••• I•••'s advisors moved to K••• L•• (Rapid City, SD): 3 of 4 registered, on the same dayDec 22, 2025 · Firm absorbed (people side) · derived
- B•••••• R•••••• P••••••• left K••••• F•••••••• G••••• I••• for T•••• P••••••• G•••• (registered 2023-12-21)Dec 20, 2023 · Advisor changed firm · fact
- J••• Alison Scherr (Owner) no longer on Schedule A of K••••• F•••••••• G••••• I••• (listed 2023-03-30, absent 2023-08-17)Aug 17, 2023 · Control person left · inference
- B•••• H••••• W•••••• left K••••• F•••••••• G••••• I••• for E• W••••• A••••••• (registered 2024-02-14)Mar 31, 2023 · Advisor changed firm · fact
- J••• Alison Scherr (Owner) appeared on Schedule A of K••••• F•••••••• G••••• I•••Mar 30, 2023 · Control person joined · fact
- Gjermund Nathaniel Gehring (Owner) appeared on Schedule A of K••••• F•••••••• G••••• I•••Mar 30, 2023 · Control person joined · fact
- C•••••••• L••• left K••••• F•••••••• G••••• I••• for Mariner (registered 2022-06-27)May 31, 2022 · Advisor changed firm · fact
- Marc Anthony Jimenez no longer registered at K••••• F•••••••• G••••• I•••; no later IA registration on IAPDFeb 15, 2022 · Advisor departure · fact
- M••••• W••••••••• (Trustee) appeared on Schedule A of K••••• F•••••••• G••••• I•••Mar 26, 2020 · Control person joined · 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