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
C•••••• M••••••••• I••••••• S•••••••• I•••
Latest filing Jan 8, 2013
First filing on the tape Nov 9, 2011 · 6 filings
RAUM
$15.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$15.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$15.0M as of Jan 8, 2013
Nov 9, 2011$15.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 8, 2013; every figure names its basis
- RAUM per advisor
- $15.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $300,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- 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 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 50reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• K••••• | Wausau, Wi | Jul 21, 2026 | 24 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D•••• M•••••• K••••• to B•• A•••••••• L••Dec 31, 2008 · Other
Joined, latest
- D•••• M•••••• K••••• from B•• A•••••••• L••Jul 21, 2026 · Other
- D•••• M•••••• K••••• from A••••••••• F•••••••• S•••••••• L••May 20, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• D••••• M•••••• · Ceo & Chief Compliance Officercontrolsince 02/2003 · owns 75% or more
- C••••••• P••••• S•• · Director Of Corporate Activitiessince 07/2008 · owns less than 5%
- C•••••••• E••••• K• · Director Of Trading Operationssince 11/2011 · owns less than 5%
- B•••• S••••• · 20%since 01/2006 · owns F of Non Voting Shares
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
- Advisory employees · unset to 2.0Sep 24, 2012 to Jan 8, 2013
- Advisory activities · 4 to 1Sep 24, 2012 to Jan 8, 2013
- Employees · unset to 2.0Sep 24, 2012 to Jan 8, 2013
- State-registered IARs · unset to 1.0Sep 24, 2012 to Jan 8, 2013
- Discretionary RAUM · $105M to $15.0MApr 2, 2012 to Sep 5, 2012
- RAUM · $105M to $15.0MApr 2, 2012 to Sep 5, 2012
- Accounts · 53 to 50Nov 9, 2011 to Apr 2, 2012
- Advisory activities · 3 to 4Nov 9, 2011 to Apr 2, 2012
- Discretionary RAUM · $15.0M to $105MNov 9, 2011 to Apr 2, 2012
- RAUM · $15.0M to $105MNov 9, 2011 to Apr 2, 2012
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.
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
- $15.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026