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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SEC-registered adviser
K••• F•••••••• P••••••• • C•••••••••
Legal name K••• F•••••••• P••••••• • C••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Sep 8, 2025 · 2 filings
SEC status approved since Sep 12, 2025
RAUM
$147M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$139M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$73.5M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$147M as of Mar 10, 2026
Sep 8, 2025$115M then
HNW client RAUM$119M as of Mar 10, 2026
Sep 8, 2025$86.3M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Sep 8, 20251 then
Employees (5.A)2 as of Mar 10, 2026
Sep 8, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 10, 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
- RAUM per advisor
- $73.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $901,324derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $5.9M, 163 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$119M81%
- Individuals$20.1M14%
- Charitable organizations$8.2M5.6%
- Individual clients
- 98reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 163reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.9M for 163 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• L•••• K•••Chartered Financial Analyst | Greenwood, In | Jul 8, 2010 | 29 y | 2 |
| E••• S•••• F••••• | Greenwood, In | Nov 6, 2017 | 16 y | 0 |
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
- W••••• L•••• K••• to W•••••• • R•••Apr 13, 2009 · Other
Joined, latest
- W••••• L•••• K••• from W•••••• • R•••Jul 8, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• E•••• S•••• · Presidentcontrolsince 03/2021 · owns 75% or more
- M•••••••• S••••• E••••• · Chief Compliance Officersince 06/2023 · owns less than 5%
Entity owners
- H••• E••••••••• · Holding Companydirect · owns less than 5%
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 |
|---|---|---|---|---|---|
| Greenwood, In · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 10, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-09-08, yes on the filing of 2026-03-10peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 157 to 163Sep 8, 2025 to Mar 10, 2026
- Advisory activities · 2 to 3Sep 8, 2025 to Mar 10, 2026
- Charity clients · 7 to 10Sep 8, 2025 to Mar 10, 2026
- HNW clients · 40 to 55Sep 8, 2025 to Mar 10, 2026
- Individual clients · 110 to 98Sep 8, 2025 to Mar 10, 2026
- Assets in custody · $11.5M to $5.9MSep 8, 2025 to Mar 10, 2026
- Financial planning clients · 1-10 to 11-25Sep 8, 2025 to Mar 10, 2026
- Discretionary RAUM · $113M to $145MSep 8, 2025 to Mar 10, 2026
- HNW RAUM · $86.3M to $119MSep 8, 2025 to Mar 10, 2026
- Individual RAUM · $22.0M to $20.1MSep 8, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $1.9M to $1.8MSep 8, 2025 to Mar 10, 2026
- RAUM · $115M to $147MSep 8, 2025 to Mar 10, 2026
Signals
No event on the tape.
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
- Firm profile
- koonfinancial.com; https://www.linkedin.com/company/koon-finreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 317-887-1714reportedpublic record, Form ADV, Mar 10, 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
- $73.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026