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•••••••• S•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Aug 22, 2022 · 7 filings
SEC status approved since Sep 22, 2022
RAUM
$227M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$215M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$227M
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
7 filings and snapshots on the tape
RAUM$227M as of Mar 11, 2026
Mar 29, 2023$134M then
HNW client RAUM$187M as of Mar 11, 2026
Mar 29, 2023$96.4M then
State-registered IARs (5.B.3)2 as of Mar 11, 2026
Mar 29, 20232 then
Employees (5.A)2 as of Mar 11, 2026
Mar 29, 20232 then
Private funds: no history
RAUM +25% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $227MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 198derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $424,258derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.5%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
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $8.6M, 9 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$187M82%
- Individuals$27.6M12%
- Pension and profit-sharing plans$10.1M4.4%
- Charitable organizations$2.6M1.1%
- Corporations and businesses$50,2440.0%
- Individual clients
- 125reported
- HNW clients
- 73reported
- Pension plan clients
- 6reported
- Charitable clients
- 4reported
- Accounts
- 536reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.6M for 9 clientsreported
- Compensation
- % of AUM, 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• D•••• Z••••• | Vernon, Ct | Mar 19, 2004 | 30 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- J•••• M•••••• D•••••••• to D••••• F••••••••Sep 4, 2026 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z•••••• K•••• D•••• · Member/Ccocontrolsince 01/2004 · 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 |
|---|---|---|---|---|---|
| Vernon, Ct · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 517 to 536Mar 25, 2025 to Mar 11, 2026
- HNW clients · 66 to 73Mar 25, 2025 to Mar 11, 2026
- Individual clients · 147 to 125Mar 25, 2025 to Mar 11, 2026
- Pension plan clients · 7 to 6Mar 25, 2025 to Mar 11, 2026
- Assets in custody · $7.9M to $8.6MMar 25, 2025 to Mar 11, 2026
- Discretionary RAUM · $182M to $227MMar 25, 2025 to Mar 11, 2026
- HNW RAUM · $134M to $187MMar 25, 2025 to Mar 11, 2026
- Individual RAUM · $36.7M to $27.6MMar 25, 2025 to Mar 11, 2026
- Pension RAUM · $8.1M to $10.1MMar 25, 2025 to Mar 11, 2026
- RAUM · $182M to $227MMar 25, 2025 to Mar 11, 2026
- Accounts · 500 to 517Nov 12, 2024 to Mar 25, 2025
- Corporate clients · unset to 1.0Nov 12, 2024 to Mar 25, 2025
- HNW clients · 56 to 66Nov 12, 2024 to Mar 25, 2025
- Individual clients · 141 to 147Nov 12, 2024 to Mar 25, 2025
- Assets in custody · $6.4M to $7.9MNov 12, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Nov 12, 2024 to Mar 25, 2025
- Discretionary RAUM · $155M to $182MNov 12, 2024 to Mar 25, 2025
- HNW RAUM · $111M to $134MNov 12, 2024 to Mar 25, 2025
- Individual RAUM · $35.5M to $36.7MNov 12, 2024 to Mar 25, 2025
- Pension RAUM · $6.4M to $8.1MNov 12, 2024 to Mar 25, 2025
- RAUM · $155M to $182MNov 12, 2024 to Mar 25, 2025
- Accounts · 497 to 500Mar 29, 2023 to Mar 20, 2024
- Charity clients · unset to 4.0Mar 29, 2023 to Mar 20, 2024
- HNW clients · 55 to 56Mar 29, 2023 to Mar 20, 2024
- Individual clients · 156 to 141Mar 29, 2023 to Mar 20, 2024
- Pension plan clients · 6 to 7Mar 29, 2023 to Mar 20, 2024
- Assets in custody · unset to 6438555.0Mar 29, 2023 to Mar 20, 2024
- Custody of client assets · false to trueMar 29, 2023 to Mar 20, 2024
- Discretionary RAUM · $134M to $155MMar 29, 2023 to Mar 20, 2024
- HNW RAUM · $96.4M to $111MMar 29, 2023 to Mar 20, 2024
- Individual RAUM · $29.2M to $35.5MMar 29, 2023 to Mar 20, 2024
- Pension RAUM · $5.7M to $6.4MMar 29, 2023 to Mar 20, 2024
- RAUM · $134M to $155MMar 29, 2023 to Mar 20, 2024
- Accounts · 491 to 497Sep 23, 2022 to Mar 29, 2023
- HNW clients · 54 to 55Sep 23, 2022 to Mar 29, 2023
- Individual clients · 139 to 156Sep 23, 2022 to Mar 29, 2023
- Discretionary RAUM · $127M to $134MSep 23, 2022 to Mar 29, 2023
- HNW RAUM · $92.3M to $96.4MSep 23, 2022 to Mar 29, 2023
- Individual RAUM · $30.9M to $29.2MSep 23, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $5.0M to $0Sep 23, 2022 to Mar 29, 2023
Signals
2 dated events
- J•••• M•••••• D•••••••• left K•••••• F•••••••• S•••••••• L•• for D••••• F•••••••• (registered 2026-08-17)Sep 4, 2026 · Advisor changed firm · fact
- K•••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Aug 22, 2022 · 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
- 860-761-9700reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-761-9797reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-875-5753reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- k••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 860-875-5753reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- k••••••••.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
- $227Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026