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••••••• A•••• M••••••••• I•••
Latest filing Mar 29, 2024
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Jan 15, 2004
RAUM
$261M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
94%
$245M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$261M as of Mar 29, 2024
Mar 30, 2012$136M then
HNW client RAUM$224M as of Mar 29, 2024
Mar 30, 2018$141M then
State-registered IARs (5.B.3)1 as of Mar 29, 2024
Mar 30, 20120 then
Employees (5.A)5 as of Mar 29, 2024
Mar 28, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year+0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $261MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $1.1M, 2 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$224M86%
- Individuals$21.0M8.0%
- Pension and profit-sharing plans$13.0M5.0%
- Charitable organizations$3.0M1.1%
- Individual clients
- 39reported
- HNW clients
- 89reported
- Pension plan clients
- 2reported
- Charitable clients
- 4reported
- Accounts
- 134reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1M for 2 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- P••••••••• D••••• J••• · President, Ccocontrolsince 11/2003 · owns 75% or more
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
- Accounts · 132 to 134Mar 30, 2023 to Mar 29, 2024
- HNW clients · 93 to 89Mar 30, 2023 to Mar 29, 2024
- Individual clients · 34 to 39Mar 30, 2023 to Mar 29, 2024
- Pension plan clients · 1 to 2Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $2.0M to $1.1MMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $204M to $241MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $192M to $224MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $18.0M to $21.0MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $11.0M to $13.0MMar 30, 2023 to Mar 29, 2024
- RAUM · $224M to $261MMar 30, 2023 to Mar 29, 2024
- Accounts · 130 to 132Mar 30, 2022 to Mar 30, 2023
- HNW clients · 98 to 93Mar 30, 2022 to Mar 30, 2023
- Individual clients · 32 to 34Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $13.0M to $2.0MMar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $264M to $204MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $253M to $192MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $19.0M to $18.0MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $23.0M to $20.0MMar 30, 2022 to Mar 30, 2023
- Pension RAUM · $12.0M to $11.0MMar 30, 2022 to Mar 30, 2023
- RAUM · $287M to $224MMar 30, 2022 to Mar 30, 2023
- Accounts · 131 to 130Mar 29, 2021 to Mar 30, 2022
- Charity clients · 3 to 4Mar 29, 2021 to Mar 30, 2022
- HNW clients · 86 to 98Mar 29, 2021 to Mar 30, 2022
- Individual clients · 40 to 32Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $240M to $264MMar 29, 2021 to Mar 30, 2022
- HNW RAUM · $227M to $253MMar 29, 2021 to Mar 30, 2022
- Individual RAUM · $21.0M to $19.0MMar 29, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $21.0M to $23.0MMar 29, 2021 to Mar 30, 2022
- Pension RAUM · $10.0M to $12.0MMar 29, 2021 to Mar 30, 2022
- RAUM · $261M to $287MMar 29, 2021 to Mar 30, 2022
- Accounts · 133 to 131Jun 30, 2020 to Mar 29, 2021
- HNW clients · 57 to 86Jun 30, 2020 to Mar 29, 2021
- Individual clients · 72 to 40Jun 30, 2020 to Mar 29, 2021
- Assets in custody · $15.0M to $13.0MJun 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $196M to $240MJun 30, 2020 to Mar 29, 2021
- HNW RAUM · $165M to $227MJun 30, 2020 to Mar 29, 2021
- Individual RAUM · $38.0M to $21.0MJun 30, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $18.0M to $21.0MJun 30, 2020 to Mar 29, 2021
- Pension RAUM · $9.0M to $10.0MJun 30, 2020 to Mar 29, 2021
- RAUM · $214M to $261MJun 30, 2020 to Mar 29, 2021
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
- Website
- w••.k•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 703-734-3400reportedpublic record, Form ADV, Mar 29, 2024
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026