DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
K••••••••• F•••••••• S•••••••• I••
Latest filing Mar 9, 2026
First filing on the tape May 18, 2021 · 8 filings
SEC status approved since Jul 1, 2021
RAUM
$26.8M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$26.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$26.8M
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
8 filings and snapshots on the tape
RAUM$26.8M as of Mar 9, 2026
Mar 16, 2022$31.6M then
HNW client RAUM$17.5M as of Mar 9, 2026
Mar 16, 2022$19.5M then
State-registered IARs (5.B.3)1 as of Mar 9, 2026
Mar 16, 20222 then
Employees (5.A)1 as of Mar 9, 2026
Mar 16, 20222 then
Private funds: no history
RAUM +0.2% over the last fiscal year-2.5% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $26.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $505,453derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%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
- +0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$17.5M65%
- Individuals$9.3M35%
- Charitable organizations$10,3100.0%
- Individual clients
- 40reported
- HNW clients
- 12reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 53reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• T••••• W••• | Croton On Hudson, Ny | Jan 14, 2011 | 23 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
- W•••• S•••••• T••••• · Presidentcontrolsince 12/2010 · 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 · 55 to 53Mar 6, 2025 to Mar 9, 2026
- Advisory employees · 2 to 1Mar 6, 2025 to Mar 9, 2026
- BD registered reps · 2 to 1Mar 6, 2025 to Mar 9, 2026
- HNW clients · 16 to 12Mar 6, 2025 to Mar 9, 2026
- Individual clients · 36 to 40Mar 6, 2025 to Mar 9, 2026
- Employees · 2 to 1Mar 6, 2025 to Mar 9, 2026
- State-registered IARs · 2 to 1Mar 6, 2025 to Mar 9, 2026
- Discretionary RAUM · $24.5M to $25.8MMar 6, 2025 to Mar 9, 2026
- HNW RAUM · $17.1M to $17.5MMar 6, 2025 to Mar 9, 2026
- Individual RAUM · $8.3M to $9.3MMar 6, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $2.2M to $999,931Mar 6, 2025 to Mar 9, 2026
- RAUM · $26.7M to $26.8MMar 6, 2025 to Mar 9, 2026
- Accounts · 54 to 55Mar 7, 2024 to Mar 6, 2025
- Charity clients · 2 to 0Mar 7, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 0Mar 7, 2024 to Mar 6, 2025
- Discretionary RAUM · $23.3M to $24.5MMar 7, 2024 to Mar 6, 2025
- HNW RAUM · $16.7M to $17.1MMar 7, 2024 to Mar 6, 2025
- Individual RAUM · $7.3M to $8.3MMar 7, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $2.0M to $2.2MMar 7, 2024 to Mar 6, 2025
- RAUM · $25.3M to $26.7MMar 7, 2024 to Mar 6, 2025
- Accounts · 60 to 54Apr 4, 2023 to Mar 7, 2024
- Charity clients · 0 to 2Apr 4, 2023 to Mar 7, 2024
- HNW clients · 13 to 16Apr 4, 2023 to Mar 7, 2024
- Individual clients · 47 to 36Apr 4, 2023 to Mar 7, 2024
- Insurance-licensed employees · 1 to 0Apr 4, 2023 to Mar 7, 2024
- Discretionary RAUM · $27.1M to $23.3MApr 4, 2023 to Mar 7, 2024
- HNW RAUM · $17.4M to $16.7MApr 4, 2023 to Mar 7, 2024
- Individual RAUM · $10.5M to $7.3MApr 4, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $1.9M to $2.0MApr 4, 2023 to Mar 7, 2024
- RAUM · $28.9M to $25.3MApr 4, 2023 to Mar 7, 2024
- Discretionary RAUM · $29.1M to $27.1MJan 12, 2023 to Apr 4, 2023
- HNW RAUM · $19.5M to $17.4MJan 12, 2023 to Apr 4, 2023
- Individual RAUM · $10.9M to $10.5MJan 12, 2023 to Apr 4, 2023
- Non-discretionary RAUM · $2.6M to $1.9MJan 12, 2023 to Apr 4, 2023
- RAUM · $31.6M to $28.9MJan 12, 2023 to Apr 4, 2023
- Accounts · 51 to 60Jun 17, 2021 to Mar 16, 2022
- Advisory activities · 2 to 1Jun 17, 2021 to Mar 16, 2022
- HNW clients · 10 to 13Jun 17, 2021 to Mar 16, 2022
- Individual clients · 40 to 47Jun 17, 2021 to Mar 16, 2022
- Discretionary RAUM · $24.2M to $29.1MJun 17, 2021 to Mar 16, 2022
Signals
1 dated events
- K••••••••• F•••••••• S•••••••• I•• filed its initial SEC registration (Form ADV)May 18, 2021 · 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 phone
- 212-213-1898reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.t•••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-213-1898reportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- t•••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $26.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026