DFX Intelligence

RIA Intelligence

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SEC-registered adviser

K••••••••• F•••••••• G••••• I•••

Independent wealth managerWinston-Salem, North CarolinaCRD 127658SEC 801-120510IAPD

Latest filing May 15, 2026

First filing on the tape Mar 16, 2012 · 16 filings

SEC status approved since Mar 12, 2021

RAUM

$170M

reported, Item 5.F

Discretionary

96%

of RAUM

Private clients

100%

$170M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$84.8M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM$170M as of May 15, 2026

Mar 16, 2012$39.2M then

HNW client RAUM$92.2M as of May 15, 2026

Feb 22, 2022$55.0M then

State-registered IARs (5.B.3)2 as of May 15, 2026

Feb 22, 20222 then

Employees (5.A)2 as of May 15, 2026

Feb 22, 20222 then

Private funds: no history

RAUM +16% over the last fiscal year+18% a year over threeIARs 2 to 2

Practice profile

derived from the filing of May 15, 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
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

RAUM per advisor: $84.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 382derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.3MderivedHNW RAUM over HNW clients
Average account: $198,729derivedRAUM over accounts (5.F.2.f)
Discretionary: 96%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 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -0.8%derived
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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$92.2M54%
Individuals$77.3M46%

Individual clients: 691reported
HNW clients: 72reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 853reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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
B•••• W•••••• N•••••	Winston-Salem, Nc	Jul 8, 2003	23 y	0
C••••••••• M•••••• H••••••••	Winston-Salem, Nc	Jun 4, 2018	14 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

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••••• C••••••••• M•••••• · Chief Compliance Officercontrol
since 12/2021 · owns less than 5%
N•••••• B••••• W•••••• · President & Ceocontrol
since 06/2003 · owns 50% to 75%
N•••••• D•••• · Shareholdercontrol
since 01/2023 · owns 25% to 50%
D••••••• B••••••• S•••• · Shareholder
since 12/2004 · owns less than 5%

Related persons

Schedule D 7.A

H•••••••• E••••••••• L••
real estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Winstonsalem, Nc	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 769 to 853
Oct 27, 2025 to Mar 30, 2026
HNW clients · 45 to 72
Oct 27, 2025 to Mar 30, 2026
Individual clients · 724 to 691
Oct 27, 2025 to Mar 30, 2026
Discretionary RAUM · $142M to $164M
Oct 27, 2025 to Mar 30, 2026
HNW RAUM · $65.4M to $92.2M
Oct 27, 2025 to Mar 30, 2026
Individual RAUM · $81.3M to $77.3M
Oct 27, 2025 to Mar 30, 2026
Non-discretionary RAUM · $4.8M to $6.0M
Oct 27, 2025 to Mar 30, 2026
RAUM · $147M to $170M
Oct 27, 2025 to Mar 30, 2026
Financial planning clients · 0 to 0
Mar 8, 2025 to Oct 27, 2025
Accounts · 496 to 769
Jan 21, 2025 to Mar 8, 2025
HNW clients · 49 to 45
Jan 21, 2025 to Mar 8, 2025
Individual clients · 447 to 724
Jan 21, 2025 to Mar 8, 2025
Discretionary RAUM · $121M to $142M
Jan 21, 2025 to Mar 8, 2025
HNW RAUM · $59.9M to $65.4M
Jan 21, 2025 to Mar 8, 2025
Individual RAUM · $64.2M to $81.3M
Jan 21, 2025 to Mar 8, 2025
Non-discretionary RAUM · $3.5M to $4.8M
Jan 21, 2025 to Mar 8, 2025
RAUM · $124M to $147M
Jan 21, 2025 to Mar 8, 2025
Accounts · 591 to 496
Feb 28, 2023 to Feb 23, 2024
HNW clients · 41 to 49
Feb 28, 2023 to Feb 23, 2024
Individual clients · 313 to 447
Feb 28, 2023 to Feb 23, 2024
Discretionary RAUM · $102M to $121M
Feb 28, 2023 to Feb 23, 2024
HNW RAUM · $5.3M to $59.9M
Feb 28, 2023 to Feb 23, 2024
Individual RAUM · $98.9M to $64.2M
Feb 28, 2023 to Feb 23, 2024
Non-discretionary RAUM · $2.5M to $3.5M
Feb 28, 2023 to Feb 23, 2024
RAUM · $104M to $124M
Feb 28, 2023 to Feb 23, 2024
Accounts · 419 to 591
May 2, 2022 to Feb 28, 2023
HNW clients · 33 to 41
May 2, 2022 to Feb 28, 2023
Individual clients · 386 to 313
May 2, 2022 to Feb 28, 2023
Pension plan clients · 5.0 to unset
May 2, 2022 to Feb 28, 2023
Discretionary RAUM · $144M to $102M
May 2, 2022 to Feb 28, 2023
HNW RAUM · $55.0M to $5.3M
May 2, 2022 to Feb 28, 2023
Individual RAUM · $80.2M to $98.9M
May 2, 2022 to Feb 28, 2023
Non-discretionary RAUM · $0 to $2.5M
May 2, 2022 to Feb 28, 2023
Pension RAUM · 8383096.0 to unset
May 2, 2022 to Feb 28, 2023
RAUM · $144M to $104M
May 2, 2022 to Feb 28, 2023
Related insurance company · true to false
May 2, 2022 to Feb 28, 2023
Accounts · 368 to 419
Jan 10, 2022 to Feb 22, 2022
Advisory employees · 4 to 2
Jan 10, 2022 to Feb 22, 2022
HNW clients · 31 to 33
Jan 10, 2022 to Feb 22, 2022
Individual clients · 332 to 386
Jan 10, 2022 to Feb 22, 2022

Signals

6 dated events

Bradbury Kenneth Sr. Brown (Vice President, Cfo) no longer on Schedule A of K••••••••• F•••••••• G••••• I••• (listed 2023-02-28, absent 2024-02-23)
Feb 23, 2024 · Control person left · inference
D•••• N••••• (Shareholder) appeared on Schedule A of K••••••••• F•••••••• G••••• I•••
Feb 23, 2024 · Control person joined · fact
Brett Nickolas N••••• (Chief Compliance Officer) no longer on Schedule A of K••••••••• F•••••••• G••••• I••• (listed 2021-04-20, absent 2022-01-10)
Jan 10, 2022 · Control person left · inference
M•••••• C••••••••• H•••••••• (Chief Compliance Officer) appeared on Schedule A of K••••••••• F•••••••• G••••• I•••
Jan 10, 2022 · Control person joined · fact
Steven Charles Jenkins (Vice President & Secretary) no longer on Schedule A of K••••••••• F•••••••• G••••• I••• (listed 2012-05-21, absent 2021-02-11)
Feb 11, 2021 · Control person left · inference
K••••••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)
Feb 11, 2021 · 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

Principal office phone: 336-712-9743reportedpublic record, Form ADV, May 15, 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: $84.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026