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
I••••••••• F•••••••• A•••••••
Legal name K•••••••••
Latest filing Feb 13, 2025
First filing on the tape Nov 15, 2011 · 33 filings
SEC status approved since Mar 24, 2006
RAUM
$110M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$107M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$110M as of Feb 13, 2025
Feb 14, 2012$84.8M then
HNW client RAUM$105M as of Feb 13, 2025
Feb 21, 2018$92.7M then
State-registered IARs (5.B.3)1 as of Feb 13, 2025
Feb 14, 20120 then
Employees (5.A)2 as of Feb 13, 2025
Feb 22, 20132 then
Private funds: no history
RAUM +8.2% over the last fiscal year+2.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 13, 2025; every figure names its basis
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $736,334derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- 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$105M96%
- Charitable organizations$3.0M2.7%
- Individuals$1.8M1.7%
- Individual clients
- 7reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 149reported
- Financial planning clients
- 11-25reported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- C••••••••• K••••• to G•••••••• A•••••••• L••Dec 31, 2025 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• C••••••••• · Chief Compliance Officercontrolsince 04/2006 · 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 |
|---|---|---|---|---|---|
| Pound Ridge, Ny | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 132 to 149Nov 14, 2024 to Feb 13, 2025
- HNW clients · 25 to 23Nov 14, 2024 to Feb 13, 2025
- Individual clients · 6 to 7Nov 14, 2024 to Feb 13, 2025
- Financial planning clients · 11-25 to 11-25Nov 14, 2024 to Feb 13, 2025
- HQ city · unset to Nov 14, 2024 to Feb 13, 2025
- HQ state · unset to Nov 14, 2024 to Feb 13, 2025
- HNW RAUM · $98.2M to $105MNov 14, 2024 to Feb 13, 2025
- Individual RAUM · $260,930 to $1.8MNov 14, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $101M to $110MNov 14, 2024 to Feb 13, 2025
- RAUM · $101M to $110MNov 14, 2024 to Feb 13, 2025
- Accounts · 126 to 132Jan 12, 2023 to Jan 25, 2024
- Charity clients · 2 to 1Jan 12, 2023 to Jan 25, 2024
- HNW clients · 16 to 25Jan 12, 2023 to Jan 25, 2024
- Individual clients · 15 to 6Jan 12, 2023 to Jan 25, 2024
- HNW RAUM · $79.4M to $98.2MJan 12, 2023 to Jan 25, 2024
- Individual RAUM · $9.0M to $260,930Jan 12, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $92.1M to $101MJan 12, 2023 to Jan 25, 2024
- RAUM · $92.1M to $101MJan 12, 2023 to Jan 25, 2024
- Accounts · 34 to 126Dec 22, 2022 to Jan 12, 2023
- HNW clients · 20 to 16Dec 22, 2022 to Jan 12, 2023
- Individual clients · 12 to 15Dec 22, 2022 to Jan 12, 2023
- Financial planning clients · 26-50 to 11-25Dec 22, 2022 to Jan 12, 2023
- HNW RAUM · $94.7M to $79.4MDec 22, 2022 to Jan 12, 2023
- Individual RAUM · $4.3M to $9.0MDec 22, 2022 to Jan 12, 2023
- Non-discretionary RAUM · $103M to $92.1MDec 22, 2022 to Jan 12, 2023
- RAUM · $103M to $92.1MDec 22, 2022 to Jan 12, 2023
- Individual RAUM · $5.5M to $4.3MJan 25, 2021 to Jan 17, 2022
- Non-discretionary RAUM · $101M to $103MJan 25, 2021 to Jan 17, 2022
- RAUM · $101M to $103MJan 25, 2021 to Jan 17, 2022
- Accounts · 38 to 34Jan 25, 2021 to Jan 17, 2022
- HNW clients · 22 to 20Jan 25, 2021 to Jan 17, 2022
- Individual clients · 14 to 12Jan 25, 2021 to Jan 17, 2022
- State-registered IARs · 0 to 1Jan 25, 2021 to Jan 17, 2022
- HNW RAUM · $90.8M to $94.7MJan 25, 2021 to Jan 17, 2022
- Accounts · 152 to 38Nov 2, 2020 to Jan 25, 2021
- Individual clients · 13 to 14Nov 2, 2020 to Jan 25, 2021
- HNW RAUM · $85.4M to $90.8MNov 2, 2020 to Jan 25, 2021
- Individual RAUM · $5.1M to $5.5MNov 2, 2020 to Jan 25, 2021
- Non-discretionary RAUM · $94.5M to $101MNov 2, 2020 to Jan 25, 2021
- RAUM · $94.5M to $101MNov 2, 2020 to Jan 25, 2021
Signals
2 dated events
- I••••••••• F•••••••• A••••••• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $109.7M)Feb 2, 2026 · Left the SEC roster · derived
- C••••••••• K••••• left I••••••••• F•••••••• A••••••• for G•••••••• A•••••••• L•• (registered 2025-12-15)Dec 31, 2025 · Advisor changed firm · 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