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
A•••••• C••••••
Legal name A•••••• C•••••• L••
Latest filing Sep 11, 2026
First filing on the tape Nov 5, 2021 · 9 filings
SEC status approved since Dec 3, 2021
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$157M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$78.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$157M as of Jan 14, 2026
Jan 31, 2022$113M then
HNW client RAUM$115M as of Jan 14, 2026
Jan 31, 2022$3.4M then
State-registered IARs (5.B.3)2 as of Jan 14, 2026
Jan 31, 20221 then
Employees (5.A)2 as of Jan 14, 2026
Jan 31, 20221 then
Private funds: no history
RAUM +18% over the last fiscal year+16% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Sep 11, 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
- $78.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $373,872derivedRAUM 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 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%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$115M73%
- Individuals$42.5M27%
- Corporations and businesses$205,2030.1%
- Individual clients
- 188reported
- HNW clients
- 76reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 421reported
- 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= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• K•••• | Hollywood, Fl | Nov 19, 2003 | 23 y | 0 |
| M•••••• V••••• K••••Chartered Financial Analyst | Hollywood, Fl | Jun 17, 2025 | 12 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• L•••• · President, Chief Compliance Officercontrolsince 10/2003 · 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 |
|---|---|---|---|---|---|
| Hollywood, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Jan 14, 2026 to Sep 11, 2026
- HQ city · to unsetJan 14, 2026 to Sep 11, 2026
- HQ state · to unsetJan 14, 2026 to Sep 11, 2026
- Related adviser · false to unsetJan 14, 2026 to Sep 11, 2026
- Related bank · false to unsetJan 14, 2026 to Sep 11, 2026
- Related broker-dealer · false to unsetJan 14, 2026 to Sep 11, 2026
- Related insurance company · false to unsetJan 14, 2026 to Sep 11, 2026
- Succession · false to unsetJan 14, 2026 to Sep 11, 2026
- Accounts · 400 to 421Mar 5, 2025 to Jan 14, 2026
- Advisory employees · 1 to 2Mar 5, 2025 to Jan 14, 2026
- HNW clients · 130 to 76Mar 5, 2025 to Jan 14, 2026
- Individual clients · 121 to 188Mar 5, 2025 to Jan 14, 2026
- Employees · 1 to 2Mar 5, 2025 to Jan 14, 2026
- State-registered IARs · 1 to 2Mar 5, 2025 to Jan 14, 2026
- Discretionary RAUM · $133M to $157MMar 5, 2025 to Jan 14, 2026
- HNW RAUM · $85.4M to $115MMar 5, 2025 to Jan 14, 2026
- Individual RAUM · $47.4M to $42.5MMar 5, 2025 to Jan 14, 2026
- RAUM · $133M to $157MMar 5, 2025 to Jan 14, 2026
- Financial planning clients · 0 to 0Jan 29, 2025 to Mar 5, 2025
- Accounts · 384 to 400Jan 21, 2024 to Jan 29, 2025
- HNW clients · 62 to 130Jan 21, 2024 to Jan 29, 2025
- Individual clients · 190 to 121Jan 21, 2024 to Jan 29, 2025
- HQ city · unset to Jan 21, 2024 to Jan 29, 2025
- HQ state · unset to Jan 21, 2024 to Jan 29, 2025
- Discretionary RAUM · $111M to $133MJan 21, 2024 to Jan 29, 2025
- HNW RAUM · $71.8M to $85.4MJan 21, 2024 to Jan 29, 2025
- Individual RAUM · $39.5M to $47.4MJan 21, 2024 to Jan 29, 2025
- RAUM · $111M to $133MJan 21, 2024 to Jan 29, 2025
- Accounts · 388 to 384Jan 23, 2023 to Jan 21, 2024
- HNW clients · 30 to 62Jan 23, 2023 to Jan 21, 2024
- Individual clients · 156 to 190Jan 23, 2023 to Jan 21, 2024
- Discretionary RAUM · $102M to $111MJan 23, 2023 to Jan 21, 2024
- HNW RAUM · $55.3M to $71.8MJan 23, 2023 to Jan 21, 2024
- Individual RAUM · $46.3M to $39.5MJan 23, 2023 to Jan 21, 2024
- RAUM · $102M to $111MJan 23, 2023 to Jan 21, 2024
- Accounts · 406 to 388Jan 31, 2022 to Jan 23, 2023
- HNW clients · 1 to 30Jan 31, 2022 to Jan 23, 2023
- Individual clients · 260 to 156Jan 31, 2022 to Jan 23, 2023
- Discretionary RAUM · $113M to $102MJan 31, 2022 to Jan 23, 2023
- HNW RAUM · $3.4M to $55.3MJan 31, 2022 to Jan 23, 2023
Signals
1 dated events
- A•••••• C•••••• filed its initial SEC registration (Form ADV)Nov 5, 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
- Business phone
- 561-690-9955reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A••••••CAPITALLLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 561-690-9955reportedpublic record, Form ADV, Sep 11, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $78.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026