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•••••••• G••••
Legal name K••• F•••••••• G••••• I•••
Latest filing Sep 18, 2026
First filing on the tape Mar 29, 2012 · 19 filings
SEC status approved since May 18, 2021
RAUM
$123M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$122M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$40.9M
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
19 filings and snapshots on the tape
RAUM$123M as of Mar 19, 2026
May 10, 2012$49.5M then
HNW client RAUM$59.0M as of Mar 19, 2026
Mar 30, 2022$93.9M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
May 10, 20120 then
Employees (5.A)2 as of Mar 19, 2026
Mar 30, 20222 then
Private funds: no history
RAUM +20% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $40.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $305,031derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- 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
- Individuals$63.4M52%
- High-net-worth individuals$59.0M48%
- Corporations and businesses$263,3420.2%
- Individual clients
- 78reported
- HNW clients
- 44reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 402reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $108M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• T••••• C••••Certified Financial Planner | Clearwater, Fl | Sep 8, 2005 | 24 y | 0 |
| M•••••• M••••••• K••• | Clearwater, Fl | Jul 26, 2018 | 12 y | 0 |
| D•••• B•••••• K•••Certified Financial Planner | Clearwater, Fl | Jun 3, 2024 | 33 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•••• D••••• B•••••• · President/Chief Compliance Officercontrolsince 07/1999 · 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 |
|---|---|---|---|---|---|
| Clearwater, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Sep 18, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- clients down average size upCombination · filing Mar 19, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $101,785,642 to $122,622,407, advisors 2 to 2, private clients 154 to 122, offices 0 to 0 (2025-03-26 to 2026-03-19)peers: independent wealth managers, $100M to $500M (5,678)
- HNW share shiftChange between filings · filing Mar 19, 2026HNW share of RAUM moved from 31.0% to 48.0% between the annual amendments of 2025-03-26 and 2026-03-19peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 19, 2026 to Sep 17, 2026
- Related adviser · false to unsetMar 19, 2026 to Sep 17, 2026
- Related bank · false to unsetMar 19, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetMar 19, 2026 to Sep 17, 2026
- Related insurance company · false to unsetMar 19, 2026 to Sep 17, 2026
- Succession · false to unsetMar 19, 2026 to Sep 17, 2026
- Wrap assets (manager) · unset to 107904779.0Jan 23, 2026 to Mar 19, 2026
- Wrap assets (sponsor) · unset to 0.0Jan 23, 2026 to Mar 19, 2026
- Accounts · 398 to 402Mar 26, 2025 to Jan 23, 2026
- HNW clients · 35 to 44Mar 26, 2025 to Jan 23, 2026
- Individual clients · 119 to 78Mar 26, 2025 to Jan 23, 2026
- HNW RAUM · $31.2M to $59.0MMar 26, 2025 to Jan 23, 2026
- Individual RAUM · $70.3M to $63.4MMar 26, 2025 to Jan 23, 2026
- Non-discretionary RAUM · $102M to $123MMar 26, 2025 to Jan 23, 2026
- RAUM · $102M to $123MMar 26, 2025 to Jan 23, 2026
- Accounts · 382 to 398Oct 3, 2024 to Mar 26, 2025
- Corporate clients · 0 to 1Oct 3, 2024 to Mar 26, 2025
- HNW clients · 24 to 35Oct 3, 2024 to Mar 26, 2025
- Individual clients · 133 to 119Oct 3, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Oct 3, 2024 to Mar 26, 2025
- HNW RAUM · $45.2M to $31.2MOct 3, 2024 to Mar 26, 2025
- Individual RAUM · $47.6M to $70.3MOct 3, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $92.8M to $102MOct 3, 2024 to Mar 26, 2025
- RAUM · $92.8M to $102MOct 3, 2024 to Mar 26, 2025
- Accounts · 383 to 382Dec 21, 2023 to Mar 14, 2024
- HNW clients · 22 to 24Dec 21, 2023 to Mar 14, 2024
- Assets in custody · 0.0 to unsetDec 21, 2023 to Mar 14, 2024
- Custody of client assets · true to falseDec 21, 2023 to Mar 14, 2024
- Other offices · 1 to 0Dec 21, 2023 to Mar 14, 2024
- HNW RAUM · $27.4M to $45.2MDec 21, 2023 to Mar 14, 2024
- Individual RAUM · $60.4M to $47.6MDec 21, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $87.8M to $92.8MDec 21, 2023 to Mar 14, 2024
- RAUM · $87.8M to $92.8MDec 21, 2023 to Mar 14, 2024
- Custody of client assets · false to trueOct 6, 2023 to Dec 21, 2023
- Other offices · 0 to 1Oct 6, 2023 to Dec 21, 2023
- Accounts · 390 to 383Sep 23, 2022 to Mar 31, 2023
- HNW clients · 38 to 22Sep 23, 2022 to Mar 31, 2023
- Individual clients · 137 to 133Sep 23, 2022 to Mar 31, 2023
- Pension plan clients · 1 to 0Sep 23, 2022 to Mar 31, 2023
- HNW RAUM · $93.9M to $27.4MSep 23, 2022 to Mar 31, 2023
Signals
1 dated events
- K••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Apr 14, 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
- 727-797-5551reportedpublic record, Form ADV, Sep 18, 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
- $40.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026