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•• I••••••••• A•••••••• L••
Latest filing Feb 7, 2024
First filing on the tape Mar 29, 2020 · 21 filings
RAUM
$255M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$251M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$255M as of Feb 7, 2024
Mar 25, 2021$216M then
HNW client RAUM$215M as of Feb 7, 2024
Mar 25, 2021$165M then
State-registered IARs (5.B.3)5 as of Feb 7, 2024
Mar 25, 20214 then
Employees (5.A)7 as of Feb 7, 2024
Mar 25, 20216 then
Private funds: no history
RAUM +0.7% over the last fiscal year+5.7% a year over threeIARs 4 to 5offices 5 to 4
Practice profile
derived from the filing of Feb 7, 2024; every figure names its basis
- RAUM per advisor
- $50.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $597,486derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $12.1M, 21 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$215M84%
- Individuals$36.0M14%
- Pension and profit-sharing plans$3.7M1.5%
- Individual clients
- 102reported
- HNW clients
- 95reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 426reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.1M for 21 clientsreported
- 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
Left, latest
- S••••• T••••• D••• to B•••••• W••••• P•••••••• L••Jul 2, 2024 · RIA to RIA
- C•••• R• D•••• to B•••••• W••••• P•••••••• L••Jul 2, 2024 · RIA to RIA
- M•••••• B•••• M••••••• to B•••••• W••••• P•••••••• L••Jul 2, 2024 · RIA to RIA
- P••• A•• A•••••• to C••••• A••••••• L••Jul 2, 2024 · Other
- N••••• C•••••• G•••••• to B•••••• W••••• P•••••••• L••Jul 2, 2024 · RIA to RIA
- M•••••• T•••••• to C••••••• S••••••••• I•••Jul 12, 2023 · RIA to affiliated broker-dealer or bank
- D•••• B••••••• W••• to C••••••• F•••••••• P•••••••Mar 11, 2022 · RIA to RIA
- R•••••• E••••• L•••••• to L•• F•••••••• L••Jan 4, 2016 · Other
- E••••• J••••• S••••• to C••••• A••••••• L••Oct 7, 2008 · Other
Joined, latest
- M•••••• B•••• M••••••• from F•••••••• L••• A•••••••Oct 11, 2023 · RIA to RIA
- S••••• T••••• D••• from B••• B••• L••Jun 14, 2023 · RIA to RIA
- N••••• C•••••• G•••••• from C••••••• S••••••••• I•••Dec 21, 2022 · Affiliated broker-dealer or bank to independent RIA
- M•••••• T•••••• from T•• P•••••• F•••••••• G••••• L••Dec 15, 2022 · RIA to RIA
- R•••••• E••••• L•••••• from C•••••• L••Feb 23, 2011 · Other
- C•••• R• D•••• from C••••• A••••••• L••Nov 28, 2006 · Other
- E••••• J••••• S••••• from N••••• • L•••• S••••••••• I•••Jun 21, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for B•••••• W••••• P•••••••• L••Jul 2, 2024 · Providence, Ri · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• P•••• A•• · Managing Directorcontrolsince 10/2008 · owns less than 5%
- D•••• S•••••• T••••• · Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- G••••••• N•••••• C•••••• · Director Of Operations And Platformscontrolsince 01/2024 · owns less than 5%
Entity owners
- K•• W••••• M••••••••• L•• · Memberdirect · owns 75% or more
- K•• H•••••••• I••• · Ownerindirect · owns 75% or more of K•• W••••• M••••••••• L••
Related persons
Schedule D 7.A
- K•••• L•••••• R•••• • C••• L•••insurancey
- K•• I•••••••• A•••••••• L••real estaten
- P••• A•• A••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma | 0 | 0 | 0 | ||
| Providence, Ri · principal | 0 | 0 | 0 | ||
| Waltham, Ma | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA1 employees
- Newport, RI1 employees
- Waltham, MA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 439 to 426Sep 1, 2023 to Feb 7, 2024
- Advisory employees · 4 to 5Sep 1, 2023 to Feb 7, 2024
- HNW clients · 39 to 95Sep 1, 2023 to Feb 7, 2024
- Individual clients · 196 to 102Sep 1, 2023 to Feb 7, 2024
- Assets in custody · $1.0M to $12.1MSep 1, 2023 to Feb 7, 2024
- Financial planning clients · unset to 26-50Sep 1, 2023 to Feb 7, 2024
- State-registered IARs · 4 to 5Sep 1, 2023 to Feb 7, 2024
- Other offices · 5 to 4Sep 1, 2023 to Feb 7, 2024
- Discretionary RAUM · $253M to $255MSep 1, 2023 to Feb 7, 2024
- HNW RAUM · $187M to $215MSep 1, 2023 to Feb 7, 2024
- Individual RAUM · $62.8M to $36.0MSep 1, 2023 to Feb 7, 2024
- Pension RAUM · $3.0M to $3.7MSep 1, 2023 to Feb 7, 2024
- RAUM · $253M to $255MSep 1, 2023 to Feb 7, 2024
- Accounts · 432 to 439Mar 10, 2023 to Mar 28, 2023
- Advisory employees · 3 to 4Mar 10, 2023 to Mar 28, 2023
- HNW clients · 79 to 39Mar 10, 2023 to Mar 28, 2023
- Individual clients · 121 to 196Mar 10, 2023 to Mar 28, 2023
- Assets in custody · $5.2M to $1.0MMar 10, 2023 to Mar 28, 2023
- Employees · 5 to 7Mar 10, 2023 to Mar 28, 2023
- State-registered IARs · 3 to 4Mar 10, 2023 to Mar 28, 2023
- Other offices · 3 to 5Mar 10, 2023 to Mar 28, 2023
- Discretionary RAUM · $275M to $253MMar 10, 2023 to Mar 28, 2023
- HNW RAUM · $228M to $187MMar 10, 2023 to Mar 28, 2023
- Individual RAUM · $46.1M to $62.8MMar 10, 2023 to Mar 28, 2023
- Non-discretionary RAUM · $2.2M to $0Mar 10, 2023 to Mar 28, 2023
- Pension RAUM · $2.2M to $3.0MMar 10, 2023 to Mar 28, 2023
- RAUM · $277M to $253MMar 10, 2023 to Mar 28, 2023
- Advisory employees · 4 to 3May 18, 2022 to Oct 5, 2022
- Employees · 6 to 5May 18, 2022 to Oct 5, 2022
- State-registered IARs · 4 to 3May 18, 2022 to Oct 5, 2022
- State-registered IARs · 3 to 4Mar 29, 2022 to May 18, 2022
- Accounts · 409 to 432Jan 3, 2022 to Mar 29, 2022
- Advisory employees · 3 to 4Jan 3, 2022 to Mar 29, 2022
- HNW clients · 58 to 79Jan 3, 2022 to Mar 29, 2022
- Individual clients · 116 to 121Jan 3, 2022 to Mar 29, 2022
- Pension plan clients · 12.0 to unsetJan 3, 2022 to Mar 29, 2022
- Assets in custody · $7.2M to $5.2MJan 3, 2022 to Mar 29, 2022
- Employees · 4 to 6Jan 3, 2022 to Mar 29, 2022
- Discretionary RAUM · $213M to $275MJan 3, 2022 to Mar 29, 2022
- HNW RAUM · $165M to $228MJan 3, 2022 to Mar 29, 2022
Signals
14 dated events
- S••••• T••••• D••• left K•• I••••••••• A•••••••• L•• for B•••••• W••••• P•••••••• L•• (registered 2024-07-01)Jul 2, 2024 · Advisor changed firm · fact
- C•••• R• D•••• left K•• I••••••••• A•••••••• L•• for B•••••• W••••• P•••••••• L•• (registered 2024-07-01)Jul 2, 2024 · Advisor changed firm · fact
- N••••• C•••••• G•••••• left K•• I••••••••• A•••••••• L•• for B•••••• W••••• P•••••••• L•• (registered 2024-07-01)Jul 2, 2024 · Advisor changed firm · fact
- M•••••• B•••• M••••••• left K•• I••••••••• A•••••••• L•• for B•••••• W••••• P•••••••• L•• (registered 2024-07-01)Jul 2, 2024 · Advisor changed firm · fact
- P••• A•• A•••••• left K•• I••••••••• A•••••••• L•• for C••••• A••••••• L•• (registered 2008-09-17)Jul 2, 2024 · Advisor changed firm · fact
- 2 advisors left K•• I••••••••• A•••••••• L•• (Providence, RI) for B•••••• W••••• P•••••••• L•• on the same dayJul 2, 2024 · Team lift-out · derived
- R Craig Dumas (Chief Operating Officer) no longer on Schedule A of K•• I••••••••• A•••••••• L•• (listed 2023-09-01, absent 2024-02-07)Feb 7, 2024 · Control person left · inference
- Thomas M•••••• Tousignant (Member) no longer on Schedule A of K•• I••••••••• A•••••••• L•• (listed 2023-09-01, absent 2024-02-07)Feb 7, 2024 · Control person left · inference
- Charles Nathan Goodwin (Director Of Operations And Platforms) appeared on Schedule A of K•• I••••••••• A•••••••• L••Feb 7, 2024 · Control person joined · fact
- M•••••• T•••••• left K•• I••••••••• A•••••••• L•• for C••••••• S••••••••• I••• (registered 2023-07-13)Jul 12, 2023 · Advisor changed firm · fact
- Thomas Steven Dean (Chief Compliance Officer) appeared on Schedule A of K•• I••••••••• A•••••••• L••Apr 27, 2023 · Control person joined · fact
- Henry Alan Litwin (Member) no longer on Schedule A of K•• I••••••••• A•••••••• L•• (listed 2022-10-05, absent 2023-03-10)Mar 10, 2023 · Control person left · inference
- D•••• B••••••• W••• left K•• I••••••••• A•••••••• L•• for C••••••• F•••••••• P••••••• (registered 2022-07-12)Mar 11, 2022 · Advisor changed firm · fact
- K•• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2020 · 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.
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