DFX Intelligence

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K••• A•• C•••••• I•••

Independent wealth managerSEC-registered· Great Neck, New Yorkwebsite

Independent wealth manager, based in Great Neck, New York, reporting $115M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $115M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +12%
Private clients: 100%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 4 Mar 2026, RAUM $103M to $115M (+12.1%) on the Form ADV filed 4 Mar 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 124722 · SEC 801-111680 · 17 filingsShow

CRD 124722SEC 801-111680First filing on the tape Aug 15, 2017, latest Mar 4, 2026SEC status approved since Sep 13, 2017IAPD

RAUM

$115M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$115M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$57.7M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM +10% a year over three years · the tape starts Aug 15, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$115M as of Mar 4, 2026

Jan 22, 2018$62.3M then

HNW client RAUM$104M as of Mar 4, 2026

Jan 22, 2018$28.0M then

State-registered IARs (5.B.3)2 as of Mar 4, 2026

Jan 22, 20181 then

Employees (5.A)2 as of Mar 4, 2026

Jan 22, 20182 then

Private funds: no history

RAUM +12% over the last fiscal year+10% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 4, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $57.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 33derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.9MderivedHNW RAUM over HNW clients
Average account: $874,221derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +12%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +3.1%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, 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)
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

91% high-net-worth individuals, 9.5% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$104M91%
Individuals$10.9M9.5%

Individual clients: 39reported
HNW clients: 27reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 132reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
C•••• D••••••Certified Financial Planner	Great Neck, Ny	Jun 6, 2022	10 y	0
A••••• B• K•••Certified Financial Planner	Great Neck, Ny	Mar 8, 2024	30 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K•••• A•••••• B• · President/Ccocontrol
since 12/1995 · owns 75% or more

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
Great Neck, Ny · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 131 to 132
Jan 14, 2025 to Mar 4, 2026
HNW clients · 33 to 27
Jan 14, 2025 to Mar 4, 2026
Individual clients · 31 to 39
Jan 14, 2025 to Mar 4, 2026
Employees · 3 to 2
Jan 14, 2025 to Mar 4, 2026
Discretionary RAUM · $103M to $115M
Jan 14, 2025 to Mar 4, 2026

Full history · 72 changes

HNW RAUM · $95.9M to $104M
Jan 14, 2025 to Mar 4, 2026
Individual RAUM · $7.1M to $10.9M
Jan 14, 2025 to Mar 4, 2026
RAUM · $103M to $115M
Jan 14, 2025 to Mar 4, 2026
Related adviser · false to true
Jan 14, 2025 to Mar 4, 2026
Accounts · 114 to 131
Mar 8, 2024 to Jan 14, 2025
HNW clients · 36 to 33
Mar 8, 2024 to Jan 14, 2025
Individual clients · 37 to 31
Mar 8, 2024 to Jan 14, 2025
Insurance-licensed employees · 0 to 1
Mar 8, 2024 to Jan 14, 2025
Financial planning clients · 1-10 to 1-10
Mar 8, 2024 to Jan 14, 2025
Discretionary RAUM · $93.3M to $103M
Mar 8, 2024 to Jan 14, 2025
HNW RAUM · $83.4M to $95.9M
Mar 8, 2024 to Jan 14, 2025
Individual RAUM · $9.9M to $7.1M
Mar 8, 2024 to Jan 14, 2025
RAUM · $93.3M to $103M
Mar 8, 2024 to Jan 14, 2025
Accounts · 121 to 114
Mar 27, 2023 to Mar 8, 2024
Advisory employees · 1 to 2
Mar 27, 2023 to Mar 8, 2024
HNW clients · 21 to 36
Mar 27, 2023 to Mar 8, 2024
Individual clients · 58 to 37
Mar 27, 2023 to Mar 8, 2024
State-registered IARs · 1 to 2
Mar 27, 2023 to Mar 8, 2024
Discretionary RAUM · $85.7M to $93.3M
Mar 27, 2023 to Mar 8, 2024
HNW RAUM · $66.4M to $83.4M
Mar 27, 2023 to Mar 8, 2024
Individual RAUM · $19.3M to $9.9M
Mar 27, 2023 to Mar 8, 2024
RAUM · $85.7M to $93.3M
Mar 27, 2023 to Mar 8, 2024
Accounts · 118 to 121
Nov 17, 2022 to Mar 27, 2023
HNW clients · 18 to 21
Nov 17, 2022 to Mar 27, 2023
Individual clients · 54 to 58
Nov 17, 2022 to Mar 27, 2023
Employees · 2 to 3
Nov 17, 2022 to Mar 27, 2023
Discretionary RAUM · $100M to $85.7M
Nov 17, 2022 to Mar 27, 2023
HNW RAUM · $75.4M to $66.4M
Nov 17, 2022 to Mar 27, 2023
Individual RAUM · $25.1M to $19.3M
Nov 17, 2022 to Mar 27, 2023
RAUM · $100M to $85.7M
Nov 17, 2022 to Mar 27, 2023
Accounts · 111 to 118
Jan 20, 2021 to Jan 13, 2022
HNW clients · 15 to 18
Jan 20, 2021 to Jan 13, 2022
Individual clients · 51 to 54
Jan 20, 2021 to Jan 13, 2022
Discretionary RAUM · $84.3M to $100M
Jan 20, 2021 to Jan 13, 2022
HNW RAUM · $57.7M to $75.4M
Jan 20, 2021 to Jan 13, 2022
Individual RAUM · $26.7M to $25.1M
Jan 20, 2021 to Jan 13, 2022
RAUM · $84.3M to $100M
Jan 20, 2021 to Jan 13, 2022
Accounts · 117 to 111
May 21, 2020 to Jan 19, 2021
HNW clients · 19 to 15
May 21, 2020 to Jan 19, 2021
Individual clients · 47 to 51
May 21, 2020 to Jan 19, 2021
Discretionary RAUM · $73.2M to $84.3M
May 21, 2020 to Jan 19, 2021
HNW RAUM · $55.0M to $57.7M
May 21, 2020 to Jan 19, 2021
Individual RAUM · $18.2M to $26.7M
May 21, 2020 to Jan 19, 2021
RAUM · $73.2M to $84.3M
May 21, 2020 to Jan 19, 2021
Accounts · 111 to 117
Jan 29, 2019 to Jan 14, 2020
HNW clients · 11 to 19
Jan 29, 2019 to Jan 14, 2020
Individual clients · 55 to 47
Jan 29, 2019 to Jan 14, 2020
Discretionary RAUM · $61.1M to $73.2M
Jan 29, 2019 to Jan 14, 2020
HNW RAUM · $38.0M to $55.0M
Jan 29, 2019 to Jan 14, 2020
Individual RAUM · $23.1M to $18.2M
Jan 29, 2019 to Jan 14, 2020
RAUM · $61.1M to $73.2M
Jan 29, 2019 to Jan 14, 2020
Accounts · 100 to 111
Jan 22, 2018 to Jan 29, 2019
HNW clients · 12 to 11
Jan 22, 2018 to Jan 29, 2019
Individual clients · 33 to 55
Jan 22, 2018 to Jan 29, 2019
Discretionary RAUM · $62.3M to $61.1M
Jan 22, 2018 to Jan 29, 2019
HNW RAUM · $28.0M to $38.0M
Jan 22, 2018 to Jan 29, 2019
Individual RAUM · $13.9M to $23.1M
Jan 22, 2018 to Jan 29, 2019
RAUM · $62.3M to $61.1M
Jan 22, 2018 to Jan 29, 2019
Accounts · 102 to 100
Nov 14, 2017 to Jan 22, 2018
HNW clients · unset to 12.0
Nov 14, 2017 to Jan 22, 2018
Individual clients · unset to 33.0
Nov 14, 2017 to Jan 22, 2018
Financial planning clients · 26-50 to 1-10
Nov 14, 2017 to Jan 22, 2018
Discretionary RAUM · $56.3M to $62.3M
Nov 14, 2017 to Jan 22, 2018
HNW RAUM · unset to 27959416.0
Nov 14, 2017 to Jan 22, 2018
Individual RAUM · unset to 13923795.0
Nov 14, 2017 to Jan 22, 2018
RAUM · $56.3M to $62.3M
Nov 14, 2017 to Jan 22, 2018
Other offices · unset to 0.0
Aug 15, 2017 to Nov 2, 2017

Signals

2 dated events

••• Locked
Nov 16, 2022 · Control person left · inference
••• Locked
Aug 15, 2017 · 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 4, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 4, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $57.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026