DFX Intelligence

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H•••••• A••••••• C••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $119M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-07-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $119M
Advisors: 2
Net advisor flow, 12 months: 0
Private clients: 99%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-07-28 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 130769 · SEC 801-134772 · 3 filingsShow

CRD 130769SEC 801-134772First filing on the tape Oct 17, 2025, latest Jul 28, 2026SEC status approved since Nov 19, 2025IAPD

RAUM

$119M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

99%

$118M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$59.3M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

Filed figures over time · the tape starts Oct 17, 2025

Peer group: Independent wealth managers, $100M to $500M, 5,683 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$119M as of Jul 28, 2026

Oct 17, 2025$106M then

HNW client RAUM$83.9M as of Jul 28, 2026

Oct 17, 2025$76.6M then

State-registered IARs (5.B.3)2 as of Jul 28, 2026

Oct 17, 20252 then

Employees (5.A)3 as of Jul 28, 2026

Oct 17, 20253 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Jul 28, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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

RAUM per advisor: $59.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 65derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $274,083derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%derivedof RAUM
Institutional: 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 1.0derived2 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 assets, hourlyreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

71% high-net-worth individuals, 29% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$83.9M71%
Individuals$34.1M29%
Pension and profit-sharing plans$665,0000.6%

Individual clients: 92reported
HNW clients: 37reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 433reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 99% private clients, 0% pooled funds, 1% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
K•••••• M••• H••••••	New Hope, Pa	Apr 5, 2004	22 y	0
T••••• K•••••• H••••••	New Hope, Pa	Oct 4, 2014	12 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••• K••••••• M••• · Presidentcontrol
since 10/2003 · owns 10% to 25%
H••••••• P••••• C••• · Vice President/Secretary/Treasurercontrol
since 10/2003 · owns 10% to 25%
H••••••• T•••••• K•••••• · Vice President/Chief Compliance Officercontrol
since 11/2015 · owns 75% or more

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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
New Hope, Pa	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 410 to 433
Mar 27, 2026 to Jul 28, 2026
HNW clients · 36 to 37
Mar 27, 2026 to Jul 28, 2026
Individual clients · 82 to 92
Mar 27, 2026 to Jul 28, 2026
Discretionary RAUM · $104M to $115M
Mar 27, 2026 to Jul 28, 2026
HNW RAUM · $76.3M to $83.9M
Mar 27, 2026 to Jul 28, 2026

Full history · 17 changes

Individual RAUM · $30.4M to $34.1M
Mar 27, 2026 to Jul 28, 2026
Non-discretionary RAUM · $3.4M to $3.5M
Mar 27, 2026 to Jul 28, 2026
Pension RAUM · $550,000 to $665,000
Mar 27, 2026 to Jul 28, 2026
RAUM · $107M to $119M
Mar 27, 2026 to Jul 28, 2026
Accounts · 403 to 410
Oct 17, 2025 to Mar 27, 2026
HNW clients · 37 to 36
Oct 17, 2025 to Mar 27, 2026
Discretionary RAUM · $102M to $104M
Oct 17, 2025 to Mar 27, 2026
HNW RAUM · $76.6M to $76.3M
Oct 17, 2025 to Mar 27, 2026
Individual RAUM · $28.4M to $30.4M
Oct 17, 2025 to Mar 27, 2026
Non-discretionary RAUM · $3.3M to $3.4M
Oct 17, 2025 to Mar 27, 2026
Pension RAUM · $530,000 to $550,000
Oct 17, 2025 to Mar 27, 2026
RAUM · $106M to $107M
Oct 17, 2025 to Mar 27, 2026

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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jul 28, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 28, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $59.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: RAUM change, 1 year.